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TROM JEFF D.

Disclosed activity across 1 company

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124019
SEC CIK
0001013632

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
WORKIVA INCWK · Entity 589Executive VP & CTOSeptember 01, 2022September 06, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

WORKIVA INC

Report date September 01, 2022 · Filed September 06, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect290,907 Ending reported balance After 2022-09-01 transaction · row 3
2 source rows · reconciled sequence

Row 1 · 2022-02-10 · Gift · Disposed 9,947 · Balance 292,336

F1: Represents a gift of securities by the reporting person to a revocable living trust.

Row 3 · 2022-09-01 · Tax withholding · Disposed 1,429 · Balance 290,907

F2: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.

Class A Common StockSEC Table I · non-derivativeIndirectBy revocable trust220,611 Reported balance After 2022-02-10 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2022-02-10 · Gift · Acquired 9,947 · Balance 220,611

F1: Represents a gift of securities by the reporting person to a revocable living trust.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy revocable trust328,402 Reported balance Holding disclosure · report date 2022-09-01 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance 328,402

F3: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

Filing footnotes · ownership attribution and instrument terms

F1: Represents a gift of securities by the reporting person to a revocable living trust.

F2: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.

F3: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 25, 2021 Filed Jun 28, 2021 16:23 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 8,168 $112.76 $921,023.68
Disclosure

SEC source: 0001445305-21-000097 · wf-form4_162491179538406.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 116,832

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $112.12 to $113.10. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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June 21, 2021 Filed Jun 22, 2021 16:31 UTC WORKIVA INC WK · Entity 589 ConversionClass B Common Stock · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000093 · wf-form4_162439380307708.xml · derivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 778,645

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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June 21, 2021 Filed Jun 22, 2021 16:31 UTC WORKIVA INC WK · Entity 589 ConversionClass A Common Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000093 · wf-form4_162439380307708.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 125,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 25, 2021 Filed May 27, 2021 17:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 100 $96.02 $9,602.00
Disclosure

SEC source: 0001445305-21-000076 · wf-form4_162214948717385.xml · nonDerivative · entry 4

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 25,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

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May 25, 2021 Filed May 27, 2021 17:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 1,017 $95.13 $96,747.21
Disclosure

SEC source: 0001445305-21-000076 · wf-form4_162214948717385.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 25,100

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F4 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $94.69 to $95.54. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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May 25, 2021 Filed May 27, 2021 17:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 8,620 $94.02 $810,452.40
Disclosure

SEC source: 0001445305-21-000076 · wf-form4_162214948717385.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 26,117

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $93.60 to $94.57. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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May 25, 2021 Filed May 27, 2021 17:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 15,263 $93.21 $1,422,664.23
Disclosure

SEC source: 0001445305-21-000076 · wf-form4_162214948717385.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 34,737

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $92.60 to $93.59. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 GiftClass B Common Stock · Derivative 57,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · derivative · entry 7

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By irrevocable trust

Disclosed balance after: 57,000

Underlying: Class A Common Stock · 57,000 shares

Expires not disclosed

F4 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F5 · shares: On April 23, 2021, the reporting person contributed 57,000 shares of indirectly owned Class B Common Stock to separate irrevocable trusts for the benefit of each of his three children, who share the reporting person's household. The reporting person's sister is the trustee of each irrevocable trust.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 GiftClass B Common Stock · Derivative 57,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · derivative · entry 6

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By irrevocable trust

Disclosed balance after: 57,000

Underlying: Class A Common Stock · 57,000 shares

Expires not disclosed

F4 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F5 · shares: On April 23, 2021, the reporting person contributed 57,000 shares of indirectly owned Class B Common Stock to separate irrevocable trusts for the benefit of each of his three children, who share the reporting person's household. The reporting person's sister is the trustee of each irrevocable trust.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 GiftClass B Common Stock · Derivative 57,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · derivative · entry 5

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By irrevocable trust

Disclosed balance after: 57,000

Underlying: Class A Common Stock · 57,000 shares

Expires not disclosed

F4 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F5 · shares: On April 23, 2021, the reporting person contributed 57,000 shares of indirectly owned Class B Common Stock to separate irrevocable trusts for the benefit of each of his three children, who share the reporting person's household. The reporting person's sister is the trustee of each irrevocable trust.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 GiftClass B Common Stock · Derivative 171,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · derivative · entry 4

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 878,645

Underlying: Class A Common Stock · 171,000 shares

Expires not disclosed

F4 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F5 · shares: On April 23, 2021, the reporting person contributed 57,000 shares of indirectly owned Class B Common Stock to separate irrevocable trusts for the benefit of each of his three children, who share the reporting person's household. The reporting person's sister is the trustee of each irrevocable trust.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 805 $96.68 $77,827.40
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 50,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $96.65 to $96.78. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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April 23, 2021 Filed Apr 27, 2021 16:24 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 24,195 $96.09 $2,324,897.55
Disclosure

SEC source: 0001445305-21-000067 · wf-form4_161955499600678.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 50,805

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $95.63 to $96.62. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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March 25, 2021 Filed Mar 26, 2021 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 2,450 $89.60 $219,520.00
Disclosure

SEC source: 0001445305-21-000056 · wf-form4_161678995992108.xml · nonDerivative · entry 4

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 75,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F5 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $89.44 to $89.88. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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March 25, 2021 Filed Mar 26, 2021 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 12,737 $88.97 $1,133,210.89
Disclosure

SEC source: 0001445305-21-000056 · wf-form4_161678995992108.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 77,450

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F4 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $88.43 to $89.42. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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March 25, 2021 Filed Mar 26, 2021 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 7,113 $88.04 $626,228.52
Disclosure

SEC source: 0001445305-21-000056 · wf-form4_161678995992108.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 90,187

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $87.43 to $88.42. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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March 25, 2021 Filed Mar 26, 2021 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 2,700 $86.98 $234,846.00
Disclosure

SEC source: 0001445305-21-000056 · wf-form4_161678995992108.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 97,300

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $86.36 to $87.31. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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March 15, 2021 Filed Mar 16, 2021 16:28 UTC WORKIVA INC WK · Entity 589 ConversionClass B Common Stock · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000052 · wf-form4_161592648720091.xml · derivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 1,049,645

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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March 15, 2021 Filed Mar 16, 2021 16:28 UTC WORKIVA INC WK · Entity 589 ConversionClass A Common Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000052 · wf-form4_161592648720091.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 100,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 18,608 $0.00 Strike: $15.83 $0.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · derivative · entry 21

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,592

Underlying: Class A Common Stock · 18,608 shares

Expires 2024-08-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F18 · security: Granted pursuant to 2009 Unit Incentive Plan.

F8 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F19 · derivative.exercise_date: Vests as to 25% of the shares on the first anniversary of the grant date and as to 6.25% of the shares at the end of each three-month period thereafter.

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February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 400 $106.74 $42,696.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 16

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,976

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F14 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $106.72 to $106.75. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 277 $105.75 $29,292.75
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 15

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,376

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F13 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $105.53 to $106.13. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 400 $104.23 $41,692.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 14

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,653

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F7 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $104.01 to $104.86. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 3,288 $102.74 $337,809.12
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 13

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,053

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F12 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $102.38 to $103.13. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 5,137 $101.92 $523,563.04
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 12

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,341

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F11 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $101.38 to $102.37. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 6,306 $100.81 $635,707.86
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 11

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,478

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F10 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $100.37 to $101.31. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 2,800 $99.98 $279,944.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 10

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,784

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F9 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $99.37 to $100.36. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 Exercise / conversionClass A Common Stock 18,608 $15.83 $294,564.64
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 9

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 61 $105.53 $6,437.33
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 8

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 0

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 300 $104.30 $31,290.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 7

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 61

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F7 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $104.01 to $104.86. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 1,000 $102.75 $102,750.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 6

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 361

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F6 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $102.42 to $103.03. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 1,900 $102.00 $193,800.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 5

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 1,361

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F5 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $101.41 to $102.38. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 2,337 $100.79 $235,546.23
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 4

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 3,261

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F4 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $100.36 to $101.31. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 794 $99.85 $79,280.90
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 5,598

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $99.34 to $100.25. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
February 09, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 GiftClass A Common Stock 6,392 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 6,392

F1 · kind: Represents a gift of securities by the reporting person to a revocable living trust.

Read SEC document
February 09, 2021 Filed Feb 26, 2021 16:25 UTC WORKIVA INC WK · Entity 589 GiftClass A Common Stock 6,392 $0.00 $0.00
Disclosure

SEC source: 0001445305-21-000039 · wf-form4_161437469125275.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,976

F1 · kind: Represents a gift of securities by the reporting person to a revocable living trust.

Read SEC document
February 03, 2021 Filed Feb 4, 2021 17:29 UTC WORKIVA INC WK · Entity 589 Tax withholdingClass A Common Stock 5,306 $102.91 $546,040.46
Disclosure

SEC source: 0001445305-21-000026 · wf-form4_161247774003518.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,368

F1 · kind: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.

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February 01, 2021 Filed Feb 3, 2021 17:40 UTC WORKIVA INC WK · Entity 589 Tax withholdingClass A Common Stock 5,206 $101.25 $527,107.50
Disclosure

SEC source: 0001445305-21-000010 · wf-form4_161239204152885.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,674

F3 · kind: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.

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February 01, 2021 Filed Feb 3, 2021 17:40 UTC WORKIVA INC WK · Entity 589 GrantClass A Common Stock 19,753 $101.25 $1,999,991.25
Disclosure

SEC source: 0001445305-21-000010 · wf-form4_161239204152885.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,880

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 270 $93.37 $25,209.90
Disclosure

SEC source: 0001445305-20-000146 · wf-form4_160927675657449.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 5,078 $92.18 $468,090.04
Disclosure

SEC source: 0001445305-20-000146 · wf-form4_160927675657449.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 270

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $92.03 to $92.41. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 16:19 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 19,652 $91.52 $1,798,551.04
Disclosure

SEC source: 0001445305-20-000146 · wf-form4_160927675657449.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 5,348

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $91.03 to $92.01. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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November 25, 2020 Filed Nov 27, 2020 13:03 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 4,351 $76.05 $330,893.55
Disclosure

SEC source: 0001445305-20-000135 · wf-form4_160650016773633.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 25,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F4 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $75.96 to $76.22. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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November 25, 2020 Filed Nov 27, 2020 13:03 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 13,914 $75.49 $1,050,367.86
Disclosure

SEC source: 0001445305-20-000135 · wf-form4_160650016773633.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 29,351

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F3 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $74.96 to $75.95. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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November 25, 2020 Filed Nov 27, 2020 13:03 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 6,735 $74.62 $502,565.70
Disclosure

SEC source: 0001445305-20-000135 · wf-form4_160650016773633.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 43,265

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 21, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $73.96 to $74.92. For all transactions reported in this Form 4 utilizing a weighted-average price, the Reporting Person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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November 05, 2020 Filed Nov 6, 2020 16:19 UTC WORKIVA INC WK · Entity 589 ConversionClass B Common Stock · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001014008-20-000006 · wf-form4_160469756707727.xml · derivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 1,149,645

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).

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November 05, 2020 Filed Nov 6, 2020 16:19 UTC WORKIVA INC WK · Entity 589 ConversionClass A Common Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001014008-20-000006 · wf-form4_160469756707727.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 50,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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October 26, 2020 Filed Oct 28, 2020 16:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 211 $56.38 $11,896.18
Disclosure

SEC source: 0001445305-20-000116 · wf-form4_160391551485132.xml · nonDerivative · entry 3

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 21, 2020 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F5 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $56.38 to $56.39. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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October 26, 2020 Filed Oct 28, 2020 16:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 2,683 $55.68 $149,389.44
Disclosure

SEC source: 0001445305-20-000116 · wf-form4_160391551485132.xml · nonDerivative · entry 2

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 211

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 21, 2020 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F4 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $55.23 to $55.91. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

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October 26, 2020 Filed Oct 28, 2020 16:05 UTC WORKIVA INC WK · Entity 589 SaleClass A Common Stock 22,106 $54.66 $1,208,313.96
Disclosure

SEC source: 0001445305-20-000116 · wf-form4_160391551485132.xml · nonDerivative · entry 1

TROM JEFF D. · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 2,894

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 21, 2020 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.

F2 · price: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $54.14 to $54.98. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.

F3 · ownership.direct: Due to an administrative error, 50,000 shares were reported on September 3, 2020 as directly held instead of indirectly held through a revocable trust. 25,000 of those shares were subsequently sold on September 25, 2020.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.