Vanderploeg Martin J.'s Form 4/A amendment
AmendedWorkiva Inc (WK) · filed Nov 18, 2021
- Accession no.
- 0001445305-21-000178
- Filed
- Nov 18, 2021
- Trade date
- Nov 16, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 16, 2021
This filing lists 1 non-derivative transaction. It carries over 5 transactions from the original filing that it did not restate. Open-market sales total $90.5M. It was filed 2 days after the trade.
This amendment restates part of 0001445305-21-000172 (filed Nov 16, 2021). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Vanderploeg Martin J.CIK 0001014008 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Class A Common Stock | SSaleDisposed | −599,641 | $151.00 | −$90,545,791 | 359 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001445305-21-000172 (filed Nov 16, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Class A Common Stock | CConversionAcquired | +466,449 | $0.00 | $0 | 600,000 | Indirect | |
| Nov 16, 2021 | Class A Common Stock | CConversionAcquired | +397,750 | $0.00 | $0 | 397,750 | Indirect | |
| Nov 16, 2021 | Class A Common Stock | GGiftDisposed | −397,750 | $0.00 | $0 | 0 | Indirect |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Class A Common Stock | CConversionDisposed | −466,449 | $0.00 | $0 | 710,562 | Indirect | |
| Nov 16, 2021 | Class A Common Stock | CConversionDisposed | −397,750 | $0.00 | $0 | 491,270 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On November 16, 2021, the reporting person filed a Form 4 reporting, among other transactions, the sale by a revocable living trust of 600,000 shares of the issuer's Class A Common Stock. The actual number of shares sold was 599,641. This amendment is being filed to correct the reported number of shares sold.
- F2
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).
- F3
Grant of stock option pursuant to the 2014 Equity Incentive Plan.
- F4
Vests in three equal annual installments commencing on the first anniversary of the grant date.
- F5
Granted pursuant to 2009 Unit Incentive Plan.
- F6
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.