<?xml version="1.0" ?><!--XBRL Document Created with Wdesk from Workiva--><!--Copyright 2021 Workiva--><!--r:62837ec7-4a0e-4af9-819f-e387ac1465b0,g:637eaca8-1274-428e-918c-c166b3ad1e89,d:069854aefc6f4043ac7507d81b0664fe--><html xmlns:dei="http://xbrl.sec.gov/dei/2021" xmlns:ixt="http://www.xbrl.org/inlineXBRL/transformation/2020-02-12" xmlns:link="http://www.xbrl.org/2003/linkbase" xmlns:ix="http://www.xbrl.org/2013/inlineXBRL" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:ixt-sec="http://www.sec.gov/inlineXBRL/transformation/2015-08-31" xmlns:xbrli="http://www.xbrl.org/2003/instance" xmlns="http://www.w3.org/1999/xhtml" xmlns:xlink="http://www.w3.org/1999/xlink" xml:lang="en-US"><head><meta http-equiv="Content-Type" content="text/html"/>


<title>wk-20211116</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt:fixed-false" name="dei:AmendmentFlag" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV80L2ZyYWc6NDMxNDE5OWY0NGE1NDJkYmFiY2Y0ZDA4OWIxNDc4MmQvdGFibGU6NmVhMTA1YjI3MDI1NGM1YjhiZjVkYjIyMmYxYjkwYWYvdGFibGVyYW5nZTo2ZWExMDViMjcwMjU0YzViOGJmNWRiMjIyZjFiOTBhZl8wLTEtMS0xLTExMDA1_86cb8fe2-0448-4cfa-aca5-ebb3a15e4c2c">FALSE</ix:nonNumeric><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityCentralIndexKey" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV80L2ZyYWc6NDMxNDE5OWY0NGE1NDJkYmFiY2Y0ZDA4OWIxNDc4MmQvdGV4dHJlZ2lvbjo0MzE0MTk5ZjQ0YTU0MmRiYWJjZjRkMDg5YjE0NzgyZF8xOA_472b60b7-e660-44fa-80bc-236f78b32581">0001445305</ix:nonNumeric></ix:hidden><ix:references xml:lang="en-US"><link:schemaRef xlink:type="simple" xlink:href="wk-20211116.xsd"></link:schemaRef></ix:references><ix:resources><xbrli:context id="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0001445305</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2021-11-16</xbrli:startDate><xbrli:endDate>2021-11-16</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div id="i069854aefc6f4043ac7507d81b0664fe_1"></div><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">UNITED STATES</span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Washington, D.C. 20549</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">___________________________________</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGV4dHJlZ2lvbjo2NGU3ZDdlZWQ4ZDU0MmRhODQwNzdlMzY5ZjJlZWQ4Y18xMTg_9b49fef0-57b5-4e21-9a8b-52a026207865">8-K</ix:nonNumeric></span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">___________________________________</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Pursuant to Section 13 or 15(d)</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">of the Securities Exchange Act of 1934</span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"> <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt:date-monthname-day-year-en" name="dei:DocumentPeriodEndDate" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGV4dHJlZ2lvbjo2NGU3ZDdlZWQ4ZDU0MmRhODQwNzdlMzY5ZjJlZWQ4Y18yNDU_54a5dbbf-3bf3-4a7b-aeae-ca09ce779fdd">November&#160;16, 2021</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Date of Report (Date of earliest event reported)</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">___________________________________</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityRegistrantName" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGV4dHJlZ2lvbjo2NGU3ZDdlZWQ4ZDU0MmRhODQwNzdlMzY5ZjJlZWQ4Y18zMzQ_aa39a1a6-5367-4f77-94f8-b8cf4d660e96">WORKIVA INC</ix:nonNumeric>.</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Exact name of registrant as specified in its charter)</span></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">___________________________________</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.561%"><tr><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.234%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8wLTAtMS0xLTExMDA1L3RleHRyZWdpb246ZTRjMTkzNjRlYjFlNGIwNmJkMDBkODY1OTI5MDcwYjJfNQ_52ea12ab-86fb-40a2-9868-f55889bb75ca">Delaware</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">(State or other jurisdiction of incorporation or organization)</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityFileNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8wLTEtMS0xLTExMDA1L3RleHRyZWdpb246NjczNDZiNTBkN2JhNGRlMTgyYzE1YTZkNmExNjExZWJfNQ_9dca73b8-a70a-4c78-8fe9-de3bcd0d9114">001-36773</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">(Commission File Number)</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityTaxIdentificationNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8wLTItMS0xLTExMDA1L3RleHRyZWdpb246N2E5NGI3ZGJkYjk5NDYxZTgxZWFiZGJkMDg4NjU0ZGRfNQ_33294ea3-b699-4a91-b1c8-ae16138209bf">47-2509828</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">(I.R.S. Employer Identification Number)</span></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityAddressAddressLine1" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfNQ_48796ebd-d9f1-48e4-ad53-a56d80b08f6a">2900 University Blvd</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfOA_5b830db9-8c5e-4ff0-9709-42ceb85eefb7">Ames</ix:nonNumeric>, <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityAddressStateOrProvince" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfMTI_372db756-da47-49b7-9796-be0eb699c39b">IA</ix:nonNumeric> <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:EntityAddressPostalZipCode" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfMTU_493bf644-732a-44c8-86ea-0f990b5489f6">50010</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%">(<ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfMTk_8d5d1208-05e3-422d-8a4d-c88885b8564d">888</ix:nonNumeric>) <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8xLTAtMS0xLTExMDA1L3RleHRyZWdpb246MjFmZmZlY2UwY2EyNGNmMjk4YmNlYjJmYzBiMDcxZTNfMjM_900068db-e809-4e43-a73d-82d2f01a05d5">275-3125</ix:nonNumeric></span></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%">(Address of principal executive offices and zip code)</span></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%">(<ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8zLTAtMS0xLTExMDA1L3RleHRyZWdpb246NzQ4NjdiZDEzZjExNDIxNmE0NGJkMjM4N2RmOGVhYzNfNQ_8d5d1208-05e3-422d-8a4d-c88885b8564d">888</ix:nonNumeric>) <ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6YWVmZjkwMGRkMTE2NDVkMGJhZmU2N2ExYTMzN2RjZTIvdGFibGVyYW5nZTphZWZmOTAwZGQxMTY0NWQwYmFmZTY3YTFhMzM3ZGNlMl8zLTAtMS0xLTExMDA1L3RleHRyZWdpb246NzQ4NjdiZDEzZjExNDIxNmE0NGJkMjM4N2RmOGVhYzNfOQ_900068db-e809-4e43-a73d-82d2f01a05d5">275-3125</ix:nonNumeric></span></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%">(Registrant's telephone number, including area code)</span></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">___________________________________</span></div></td></tr></table></div><div style="margin-bottom:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:120%">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:4.747%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.053%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NDBhYTA3Nzg1YzMwNGUyMWIwY2FlY2RlYWVjMTU0ZmQvdGFibGVyYW5nZTo0MGFhMDc3ODVjMzA0ZTIxYjBjYWVjZGVhZWMxNTRmZF8wLTAtMS0xLTExMDA1_7bed6fff-f9bd-418a-b492-c61962c87b26">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NDBhYTA3Nzg1YzMwNGUyMWIwY2FlY2RlYWVjMTU0ZmQvdGFibGVyYW5nZTo0MGFhMDc3ODVjMzA0ZTIxYjBjYWVjZGVhZWMxNTRmZF8xLTAtMS0xLTExMDA1_c80e6311-9a0b-4509-b2c4-ee1d41c92e2a">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:boolballotbox" name="dei:PreCommencementTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NDBhYTA3Nzg1YzMwNGUyMWIwY2FlY2RlYWVjMTU0ZmQvdGFibGVyYW5nZTo0MGFhMDc3ODVjMzA0ZTIxYjBjYWVjZGVhZWMxNTRmZF8yLTAtMS0xLTExMDA1_6ebf096f-2346-4298-be7d-934b5b09275e">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NDBhYTA3Nzg1YzMwNGUyMWIwY2FlY2RlYWVjMTU0ZmQvdGFibGVyYW5nZTo0MGFhMDc3ODVjMzA0ZTIxYjBjYWVjZGVhZWMxNTRmZF8zLTAtMS0xLTExMDA1_4e5d2372-fa98-4003-8f03-9a53db84328a">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</span></div></td></tr></table></div><div style="margin-bottom:3pt;margin-top:6pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:31.794%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:31.794%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:33.112%"></td><td style="width:0.1%"></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%">Securities registered pursuant to Section 12(b) of the Act:</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%;text-decoration:underline">Title of each class</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%;text-decoration:underline">Trading Symbol</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%;text-decoration:underline">Name of each exchange on which registered</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NzI3YTVkM2Q3YzZlNGRiMmExZjk3NWY4ZDZhNzcwOWIvdGFibGVyYW5nZTo3MjdhNWQzZDdjNmU0ZGIyYTFmOTc1ZjhkNmE3NzA5Yl8yLTAtMS0xLTExMDA1_fd64d22f-4903-4521-8d6a-967a4dc45344">Class A common stock, par value $.001</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NzI3YTVkM2Q3YzZlNGRiMmExZjk3NWY4ZDZhNzcwOWIvdGFibGVyYW5nZTo3MjdhNWQzZDdjNmU0ZGIyYTFmOTc1ZjhkNmE3NzA5Yl8yLTEtMS0xLTExMDA1_63102472-9d1b-4c0b-8140-8a3bda8f7b93">WK</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGFibGU6NzI3YTVkM2Q3YzZlNGRiMmExZjk3NWY4ZDZhNzcwOWIvdGFibGVyYW5nZTo3MjdhNWQzZDdjNmU0ZGIyYTFmOTc1ZjhkNmE3NzA5Yl8yLTItMS0xLTExMDA1_d5f84c27-bba6-4ec8-a145-3110ab9d0438">New York Stock Exchange</ix:nonNumeric></span></td></tr></table></div><div style="margin-bottom:3pt;margin-top:6pt"><span><br/></span></div><div style="margin-bottom:3pt;margin-top:6pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:120%">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 12b-2 of the Exchange Act. </span></div><div style="margin-bottom:3pt;margin-top:6pt;text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:120%">Emerging growth company&#160;&#160;&#160;&#160;</span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i6011c68f65c24959bf1a9500939e65cc_D20211116-20211116" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="id3VybDovL2RvY3MudjEvZG9jOjA2OTg1NGFlZmM2ZjQwNDNhYzc1MDdkODFiMDY2NGZlL3NlYzowNjk4NTRhZWZjNmY0MDQzYWM3NTA3ZDgxYjA2NjRmZV8xL2ZyYWc6NjRlN2Q3ZWVkOGQ1NDJkYTg0MDc3ZTM2OWYyZWVkOGMvdGV4dHJlZ2lvbjo2NGU3ZDdlZWQ4ZDU0MmRhODQwNzdlMzY5ZjJlZWQ4Y183NTc_fbf14274-5152-4c24-b298-14d7662af0c9">&#9744;</ix:nonNumeric></span></div><div style="margin-bottom:6pt;margin-top:6pt;text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:120%">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:120%">&#168;</span></div><div><span><br/></span></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i069854aefc6f4043ac7507d81b0664fe_7"></div><hr style="page-break-after:always"/><div style="min-height:72pt;width:100%"><div><span><br/></span></div></div><div style="margin-top:6pt;padding-left:49.5pt;text-indent:-49.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Section 8 - Other Events</span></div><div id="i069854aefc6f4043ac7507d81b0664fe_10"></div><div style="margin-bottom:6pt;margin-top:6pt;padding-left:49.5pt;text-indent:-49.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:700;line-height:120%">Item 8.01.  Other Events</span></div><div style="margin-bottom:6pt;margin-top:6pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">On November 16, 2021, Martin J. Vanderploeg, President and Chief Executive Officer of Workiva Inc. (the "Company"), and Jeffrey B. Trom, Executive Vice President and Chief Technology Officer of the Company, each sold a portion of their Company stock, as part of their strategies for philanthropy, tax planning, asset diversification and liquidity.  Messrs. Vanderploeg and Trom have each informed the Company that they intend to continue in their capacities as the Company's President and Chief Executive Officer, and Executive Vice President and Chief Technology Officer, respectively, for the foreseeable future.</span></div><div style="margin-bottom:6pt;margin-top:6pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Mr. Vanderploeg converted 466,449 shares, or approximately 26.9% of his Class B common stock into Class A common stock. Following this transaction, Mr. Vanderploeg sold 600,000 shares of Class A common stock, representing approximately 24.8% of his beneficially owned stock, in a block trade made in accordance with the provisions of Rule 144 of the Securities Act of 1933. This transaction comprises approximately 1.2% of the Company's total outstanding capital stock. Following this transaction, Mr. Vanderploeg beneficially owns directly and indirectly 554,750 shares of Class A common stock (including options exercisable within 60 days) and 1,264,204 shares of Class B common stock, comprising in the aggregate approximately 3.6% of the Company's total outstanding capital stock, and approximately 14.9% of the voting power of the Company's outstanding capital stock.</span></div><div style="margin-bottom:6pt;margin-top:6pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Mr. Trom converted 284,645 shares of Class B common stock held in a revocable trust, and 397,750 shares of Class B common stock held by the Martin J. Vanderploeg Charitable Remainder Trust, into Class A common stock. These shares represent in the aggregate approximately 58% of the Class B common stock beneficially owned by Mr. Trom. Following these transactions, Mr. Trom sold 330,000 shares of Class A common stock, representing approximately 23% of his beneficially owned stock, in a block trade made in accordance with the provisions of Rule 144 of the Securities Act of 1933. In addition, the Martin J. Vanderploeg Charitable Remainder Trust donated 397,750 shares of Class A common stock to various charitable organizations. These transactions comprise approximately 1.3% of the Company's total outstanding capital stock. Following these transactions, Mr. Trom beneficially owns directly and indirectly approximately 210,664 shares of Class A common stock (including options exercisable within 60 days) and 491,270 shares of Class B common stock, comprising in the aggregate approximately 1.5% of the Company's total outstanding capital stock, and approximately 5.8% of the voting power of the Company's outstanding capital stock.</span></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i069854aefc6f4043ac7507d81b0664fe_13"></div><hr style="page-break-after:always"/><div style="min-height:72pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURE</span></div><div style="text-align:center"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized on this 16th day of November, 2021.</span></div><div><span><br/></span></div><div style="text-align:right"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:41.987%"><tr><td style="width:1.0%"></td><td style="width:22.182%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:75.618%"></td><td style="width:0.1%"></td></tr><tr><td colspan="6" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:100%">WORKIVA INC.</span></div></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%">By:</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline">/s/ Brandon Ziegler</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%">Name:</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Brandon Ziegler</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%">Title:</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Executive Vice President, Chief Legal Officer and Secretary</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div><span><br/></span></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div></body></html>
[{"type": "8-K", "sequence": "1", "filename": "wk-20211116.htm", "description": "8-K", "secsgml_size_bytes": 34049}]
{"company-data": {"conformed-name": "WORKIVA INC", "cik": "0001445305", "assigned-sic": "7372", "irs-number": "472509828", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-36773", "film-number": "211418103"}, "business-address": {"street1": "2900 UNIVERSITY BLVD.", "city": "AMES", "state": "IA", "zip": "50010", "phone": "(515) 817-6100"}, "mail-address": {"street1": "2900 UNIVERSITY BLVD.", "city": "AMES", "state": "IA", "zip": "50010"}, "former-company": [{"former-conformed-name": "WORKIVA INC.", "date-changed": "20141212"}, {"former-conformed-name": "WORKIVA LLC", "date-changed": "20140701"}, {"former-conformed-name": "WEBFILINGS LLC", "date-changed": "20091013"}]}
wk-20211116
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________________
FORM
8-K
___________________________________
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
November 16, 2021
Date of Report (Date of earliest event reported)
___________________________________
WORKIVA INC
.
(Exact name of registrant as specified in its charter)
___________________________________
Delaware
(State or other jurisdiction of incorporation or organization)
001-36773
(Commission File Number)
47-2509828
(I.R.S. Employer Identification Number)
2900 University Blvd
Ames
,
IA
50010
(
888
)
275-3125
(Address of principal executive offices and zip code)
(
888
)
275-3125
(Registrant's telephone number, including area code)
___________________________________
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol
Name of each exchange on which registered
Class A common stock, par value $.001
WK
New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 12b-2 of the Exchange Act.
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
¨
Section 8 - Other Events
Item 8.01.  Other Events
On November 16, 2021, Martin J. Vanderploeg, President and Chief Executive Officer of Workiva Inc. (the "Company"), and Jeffrey B. Trom, Executive Vice President and Chief Technology Officer of the Company, each sold a portion of their Company stock, as part of their strategies for philanthropy, tax planning, asset diversification and liquidity.  Messrs. Vanderploeg and Trom have each informed the Company that they intend to continue in their capacities as the Company's President and Chief Executive Officer, and Executive Vice President and Chief Technology Officer, respectively, for the foreseeable future.
Mr. Vanderploeg converted 466,449 shares, or approximately 26.9% of his Class B common stock into Class A common stock. Following this transaction, Mr. Vanderploeg sold 600,000 shares of Class A common stock, representing approximately 24.8% of his beneficially owned stock, in a block trade made in accordance with the provisions of Rule 144 of the Securities Act of 1933. This transaction comprises approximately 1.2% of the Company's total outstanding capital stock. Following this transaction, Mr. Vanderploeg beneficially owns directly and indirectly 554,750 shares of Class A common stock (including options exercisable within 60 days) and 1,264,204 shares of Class B common stock, comprising in the aggregate approximately 3.6% of the Company's total outstanding capital stock, and approximately 14.9% of the voting power of the Company's outstanding capital stock.
Mr. Trom converted 284,645 shares of Class B common stock held in a revocable trust, and 397,750 shares of Class B common stock held by the Martin J. Vanderploeg Charitable Remainder Trust, into Class A common stock. These shares represent in the aggregate approximately 58% of the Class B common stock beneficially owned by Mr. Trom. Following these transactions, Mr. Trom sold 330,000 shares of Class A common stock, representing approximately 23% of his beneficially owned stock, in a block trade made in accordance with the provisions of Rule 144 of the Securities Act of 1933. In addition, the Martin J. Vanderploeg Charitable Remainder Trust donated 397,750 shares of Class A common stock to various charitable organizations. These transactions comprise approximately 1.3% of the Company's total outstanding capital stock. Following these transactions, Mr. Trom beneficially owns directly and indirectly approximately 210,664 shares of Class A common stock (including options exercisable within 60 days) and 491,270 shares of Class B common stock, comprising in the aggregate approximately 1.5% of the Company's total outstanding capital stock, and approximately 5.8% of the voting power of the Company's outstanding capital stock.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized on this 16th day of November, 2021.
WORKIVA INC.
By:
/s/ Brandon Ziegler
Name:
Brandon Ziegler
Title:
Executive Vice President, Chief Legal Officer and Secretary