Workiva CAO withholds 2,151 shares for taxes

Workiva’s Chief Accounting Officer withheld 2,151 shares to cover RSU tax obligations and now holds 28,830 shares directly.

Rhea-AI Filing Summary

WORKIVA INC (WK) officer Junko Swain, SVP and Chief Accounting Officer, reported a disposition of 2,151 shares of Class A Common Stock on September 1, 2026. The shares were delivered to Workiva to cover withholding taxes upon vesting of previously granted restricted stock units. After this tax-withholding transaction, Swain directly holds 28,830 shares of Workiva, including 147 shares acquired through the company’s Employee Stock Purchase Plan on July 15, 2026. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Tax Withholding: 2,151 shares

Tax Withholding 1 txn

Insider Swain Junko

Role SVP, Chief Accounting Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A Common Stock F1, F2	2,151	$76.70	$165K

Holdings After Transaction: Class A Common Stock — 28,830 shares (Direct)

Footnotes (2)

1. F1. Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.
2. F2. Includes 147 shares purchased by the Reporting Person under the Workiva Inc. Employee Stock Purchase Plan on July 15, 2026.

Key Figures

Shares delivered for tax withholding: 2,151 shares Per-share value for tax withholding: $76.70 per share Post-transaction direct holdings: 28,830 shares +1 more

4 metrics

Shares delivered for tax withholding 2,151 shares Shares delivered to Workiva on September 1, 2026 to pay RSU withholding taxes

Per-share value for tax withholding $76.70 per share Value applied to the 2,151 shares delivered for withholding taxes

Post-transaction direct holdings 28,830 shares Junko Swain’s direct Workiva Class A Common Stock holdings after the transaction

ESPP shares included in holdings 147 shares Shares purchased under the Workiva Inc. Employee Stock Purchase Plan on July 15, 2026

Key Terms

restricted stock units, withholding taxes, Employee Stock Purchase Plan

3 terms

restricted stock units financial

"withholding taxes due upon the vesting of restricted stock units previously granted"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

withholding taxes financial

"Shares delivered to the issuer for payment of withholding taxes due upon the vesting"

Withholding taxes are amounts a payer or government takes out of payments — such as wages, interest, or dividends — before the recipient gets the money, functioning like a cashier keeping part of a bill to pay taxes on your behalf. For investors this matters because it reduces the cash they actually receive, affects net returns and yield calculations, and may require additional paperwork or treaty claims to recover or offset the withheld amount against final tax bills.

Employee Stock Purchase Plan financial

"Includes 147 shares purchased by the Reporting Person under the Workiva Inc. Employee Stock Purchase Plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction did Workiva (WK) report for Junko Swain on this Form 4?

Junko Swain reported delivering 2,151 shares of Workiva Class A Common Stock on September 1, 2026 to the issuer for payment of withholding taxes due upon vesting of previously granted restricted stock units.

Was the Workiva (WK) Form 4 transaction a market sale or a tax withholding?

The filing states the 2,151 shares were delivered to the issuer for payment of withholding taxes upon RSU vesting, indicating a tax-withholding disposition rather than an open-market sale.

How many Workiva (WK) shares does Junko Swain hold after this Form 4 transaction?

After the reported tax-withholding disposition, Junko Swain directly holds 28,830 shares of Workiva Class A Common Stock, as disclosed in the post-transaction holdings figure.

What price per share is associated with the Workiva (WK) tax-withholding transaction?

The shares delivered for tax withholding are reported at a value of $76.70 per share, applied to the 2,151 shares of Class A Common Stock used to satisfy withholding taxes on RSU vesting.

Did Junko Swain buy any Workiva (WK) shares mentioned in this Form 4?

Yes. A footnote states that her holdings include 147 shares purchased under the Workiva Inc. Employee Stock Purchase Plan on July 15, 2026, which are part of the reported 28,830 post-transaction shares.

Was the Workiva (WK) insider transaction under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked, and there is no footnote indicating that the 2,151-share tax-withholding disposition occurred under a Rule 10b5-1 trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/02/2026 - 04:29 PM EDT Accepted by SEC EDGAR 09/02/2026 - 04:29 PM EDT Learn about SEC filing dates

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 IOWA 50010

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/01/2026		F(1)		2,151	D	$76.7	28,830(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 payment of withholding taxes due upon the vesting of restricted stock units previously granted.

2. Includes 147 shares purchased by the Reporting Person under the Workiva Inc. Employee Stock Purchase Plan on July 15, 2026.

Remarks:

	/s/ Brandon E. Ziegler as attorney-in-fact for Junko Swain	09/02/2026
	** 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.
* Form 4: SEC 1474 (03-26)