Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WORKIVA INCWK · Entity 589 | 10% owner | May 17, 2019 | May 21, 2019 |
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 May 17, 2019 · Filed May 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 260,011 |
Reported balance
After 2019-05-17 transaction · row 1
1 source rowRow 1 · 2019-05-17 · Sale · Disposed 66,585 · Balance 260,011 |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Trust | 41,585 |
Reported balance
After 2019-05-17 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-05-17 · Sale · Disposed 533,415 · Balance 41,585 |
| Employee Stock Option to Purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $12.40 · Expires 2027-01-31 | Direct | 200,204 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 200,204 F1: Grant of stock option pursuant to the 2014 Equity Incentive Plan. F2: Vests in three equal annual installments commencing on the first anniversary of the grant date. |
| Employee Stock Option to Purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.74 · Expires 2026-01-31 | Direct | 168,421 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 168,421 F1: Grant of stock option pursuant to the 2014 Equity Incentive Plan. F2: Vests in three equal annual installments commencing on the first anniversary of the grant date. |
| Employee Stock Option to Purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $15.83 · Expires 2024-08-11 | Direct | 178,200 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 178,200 F3: Granted pursuant to 2009 Unit Incentive Plan. F4: 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy trust | 1,292,058 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,292,058 F5: 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). |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 32,783 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 32,783 F5: 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). |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy family trusts | 201,630 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 201,630 F5: 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). |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy marital trust | 885,109 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 885,109 F5: 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). |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy charitable remainder trust | 489,113 |
Reported balance
Holding disclosure · report date 2019-05-17 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 489,113 F5: 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: Grant of stock option pursuant to the 2014 Equity Incentive Plan.
F2: Vests in three equal annual installments commencing on the first anniversary of the grant date.
F3: Granted pursuant to 2009 Unit Incentive Plan.
F4: 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.
F5: 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
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 17, 2019 Filed May 21, 2019 20:15 UTC | WORKIVA INC WK · Entity 589 | SaleClass A Common Stock | 533,415 | $53.00 | $28,270,995.00 |
DisclosureSEC source: 0001445305-19-000064 · wf-form4_155846971733093.xml · nonDerivative · entry 2 RIZAI MATTHEW M · CIK 0001013631 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 41,585 Read SEC document |
| May 17, 2019 Filed May 21, 2019 20:15 UTC | WORKIVA INC WK · Entity 589 | SaleClass A Common Stock | 66,585 | $53.00 | $3,529,005.00 |
DisclosureSEC source: 0001445305-19-000064 · wf-form4_155846971733093.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,011 Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 21:31 UTC | WORKIVA INC WK · Entity 589 | Tax withholdingClass A Common Stock | 15,777 | $22.05 | $347,882.85 |
DisclosureSEC source: 0001445305-18-000038 · wf-form4_151803906787877.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,596 F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:30 UTC | WORKIVA INC WK · Entity 589 | GrantClass A Common Stock | 89,028 | $22.25 | $1,980,873.00 |
DisclosureSEC source: 0001445305-18-000022 · wf-form4_151786620237984.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,373 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 |
| January 19, 2018 Filed Jan 22, 2018 21:31 UTC | WORKIVA INC WK · Entity 589 | Tax withholdingClass A Common Stock | 827 | $22.10 | $18,276.70 |
DisclosureSEC source: 0001445305-18-000009 · wf-form4_151665666050631.xml · nonDerivative · entry 2 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,345 F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted. Read SEC document |
| January 18, 2018 Filed Jan 22, 2018 21:31 UTC | WORKIVA INC WK · Entity 589 | Tax withholdingClass A Common Stock | 1,342 | $21.75 | $29,188.50 |
DisclosureSEC source: 0001445305-18-000009 · wf-form4_151665666050631.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,172 F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted. Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 20:22 UTC | WORKIVA INC WK · Entity 589 | ConversionClass B Common Stock · Derivative | 173,354 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · derivative · entry 5 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By charitable remainder trust Disclosed balance after: 489,113 Underlying: Class A Common Stock · 173,354 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. F2 · 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). F2 · 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 · kind: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017. F2 · 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). F2 · 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). Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 20:22 UTC | WORKIVA INC WK · Entity 589 | GiftClass A Common Stock | 173,354 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · nonDerivative · entry 2 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By charitable remainder trust Disclosed balance after: 0 Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 20:22 UTC | WORKIVA INC WK · Entity 589 | ConversionClass A Common Stock | 173,354 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By charitable remainder trust Disclosed balance after: 173,354 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 · kind: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017. F1 · price: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 23:12 UTC | WORKIVA INC WK · Entity 589 | Tax withholdingClass A Common Stock | 24,305 | $12.85 | $312,319.25 |
DisclosureSEC source: 0001624785-17-000009 · wf-form4_148650912637469.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,514 F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 23:06 UTC | WORKIVA INC WK · Entity 589 | GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative | 200,204 | Not disclosed Strike: $12.40 | Not disclosed |
DisclosureSEC source: 0001013632-17-000014 · wf-form4_148616314933795.xml · derivative · entry 3 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,204 Underlying: Class A Common Stock · 200,204 shares Expires 2027-02-01 F1 · security: Granted pursuant to the 2014 Equity Incentive Plan. F1 · price: Granted pursuant to the 2014 Equity Incentive Plan. F2 · derivative.exercise_date: Vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 23:18 UTC | WORKIVA INC WK · Entity 589 | GrantClass A Common Stock | 93,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-17-000001 · wf-form4_148495427541493.xml · nonDerivative · entry 1 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,819 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. F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 23:23 UTC | WORKIVA INC WK · Entity 589 | GiftClass B Common Stock · Derivative | 76,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-16-000028 · wf-form4_147933858538046.xml · derivative · entry 4 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By family trusts Disclosed balance after: 201,630 Underlying: Class A Common Stock · 76,000 shares Expires not disclosed F2 · 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). F2 · 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). F2 · 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). F2 · 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). Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 23:23 UTC | WORKIVA INC WK · Entity 589 | GiftClass B Common Stock · Derivative | 114,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001013631-16-000028 · wf-form4_147933858538046.xml · derivative · entry 3 RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 1,292,058 Underlying: Class A Common Stock · 114,000 shares Expires not disclosed F2 · 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). F2 · 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). F2 · 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). F2 · 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). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.