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WK Form 4: SVP Junko Swain Disposes 2,093 Shares for Tax Withholding

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Junko Swain, SVP and Chief Accounting Officer of Workiva Inc. (WK), reported a routine tax-withholding sale tied to vesting equity awards. On 09/02/2025 she disposed of 2,093 shares of Class A common stock at a price of $82.24 per share to cover withholding taxes related to vested restricted stock units. After the transaction she beneficially owned 24,661 shares, a total that includes 109 shares acquired through the company Employee Stock Purchase Plan on July 14, 2025. The Form 4 was submitted by an attorney-in-fact on her behalf.

Positive

  • None.

Negative

  • None.

Insights

TL;DR: A routine insider sale to satisfy tax withholding on vested RSUs; not a signal of change in control or major disposition.

The Form 4 shows a disposition labeled under Code F, indicating shares were delivered to the issuer to satisfy tax withholding obligations upon vesting of restricted stock units. The number disposed, 2,093 shares at $82.24, appears to be mechanically tied to tax withholding rather than an opportunistic market sale. Beneficial ownership after the transaction is 24,661 shares, which retains the insider's ongoing equity stake. Inclusion of 109 ESPP shares is a minor additional buy-in and does not materially alter stake size.

TL;DR: Transaction is procedural and consistent with standard equity compensation practices; no governance red flags present.

The reporting person is an officer (SVP, Chief Accounting Officer) and the sale is recorded as a withholding-for-taxes event, a common practice when RSUs vest. The Form 4 discloses remaining beneficial ownership and the small ESPP purchase, providing transparency. There are no indications of accelerated disposition, related-party transactions, or departures in this filing. From a governance perspective, this disclosure aligns with Section 16 requirements and does not suggest material change in insider alignment with shareholders.

Insider Swain Junko
Role SVP, Chief Accounting Officer
Type Security Shares Price Value
Tax Withholding Class A Common Stock 2,093 $82.24 $172K
Holdings After Transaction: Class A Common Stock — 24,661 shares (Direct)
Footnotes (1)
  1. Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted stock units previously granted. Includes 109 shares purchased by the Reporting Person under the Workiva Inc. Employee Stock Purchase Plan on July 14, 2025.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Swain Junko
(Last) (First) (Middle)
2900 UNIVERSITY BOULEVARD
(Street)
AMES IA 50010
(City) (State) (Zip)
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)
SVP, Chief Accounting Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/02/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 09/02/2025 F(1) 2,093 D $82.24 24,661(2) 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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
Explanation of Responses:
1. Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted stock units previously granted.
2. Includes 109 shares purchased by the Reporting Person under the Workiva Inc. Employee Stock Purchase Plan on July 14, 2025.
Remarks:
/s/ Brandon E. Ziegler as attorney-in-fact for Junko Swain 09/03/2025
** Signature of Reporting Person 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did Workiva insider Junko Swain report on Form 4 (WK)?

The filing reports a tax-withholding disposition of 2,093 shares of Class A common stock related to vested restricted stock units, at $82.24 per share.

How many shares does Junko Swain beneficially own after the reported transaction?

She beneficially owns 24,661 shares following the reported transaction.

Did Junko Swain make any purchases of Workiva stock recently?

Yes. The filing notes she purchased 109 shares under the Workiva Employee Stock Purchase Plan on July 14, 2025.

What was the reason for the 2,093-share disposition?

The shares were delivered to the issuer to pay withholding taxes due upon the vesting of restricted stock units, indicated in the form's explanation.

Is this Form 4 indicative of an executive leaving or selling large stakes?

No. The transaction is recorded under Code F as a withholding-for-taxes event and represents a routine disposition tied to equity award vesting, not an opportunistic sale.