Sec Form 4 Filing - Banarjee Mithun @ WORKIVA INC - 2019-08-14

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Banarjee Mithun
2. Issuer Name and Ticker or Trading Symbol
WORKIVA INC [ WK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP and Chief Customer Officer
(Last) (First) (Middle)
2900 UNIVERSITY BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
08/14/2019
(Street)
AMES, IA50010
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 08/14/2019 M 11,880 A $ 15.86 150,149 D
Class A Common Stock 08/14/2019 M 1,149 A $ 15.86 151,298 D
Class A Common Stock 08/14/2019 M 13,860 A $ 15.83 165,158 D
Class A Common Stock 08/14/2019 M 1,000 A $ 14.07 166,158 D
Class A Common Stock 08/14/2019 M 35,000 A $ 16.66 201,158 D
Class A Common Stock 08/14/2019 M 7,111 A $ 14.28 208,269 D
Class A Common Stock 08/16/2019 S 70,000 D $ 56.25 138,269 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option to Purchase Class A Common Stock $ 15.86 08/14/2019 M 11,880 01/14/2015( 1 ) 01/13/2024 Class A Common Stock 11,880 $ 56.25 0 D
Employee Stock Option to Purchase Class A Common Stock $ 15.86 08/14/2019 M 1,149 01/14/2014( 2 ) 01/13/2024 Class A Common Stock 1,149 $ 56.25 0 D
Employee Stock Option to Purchase Class A Common Stock $ 15.83 08/14/2019 M 13,860 11/01/2015 11/05/2024 Class A Common Stock 13,860 $ 56.25 0 D
Employee Stock Option to Purchase Class A Common Stock $ 14.07 08/14/2019 M 1,000 04/01/2016 03/31/2025 Class A Common Stock 1,000 $ 56.25 0 D
Employee Stock Option to Purchase Class A Common Stock $ 16.66 08/14/2019 M 35,000 01/04/2017 01/03/2026 Class A Common Stock 35,000 $ 56.25 5,000 D
Employee Stock Option to Purchase Class A Common Stock $ 14.28 08/14/2019 M 7,111 07/01/2017 07/31/2026 Class A Common Stock 7,111 $ 56.25 8,789 D
Employee Stock Option to Purchase Class A Common Stock $ 13.55 01/03/2018 01/02/2027 Class A Common Stock 11,000 11,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Banarjee Mithun
2900 UNIVERSITY BOULEVARD
AMES, IA50010
EVP and Chief Customer Officer
Signatures
/s/ Troy M. Calkins as attorney-in-fact for Mithun Banarjee 08/16/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )Fully vested on upon the grant date.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Inten tional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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