CUSIP No. 98139A105
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1.
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Names of Reporting Persons
William E. Oberndorf
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
USA
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Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
705,623 (1)
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
705,623 (1)
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
705,623
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
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11.
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Percent of Class Represented By Amount in Row (9)
2.1% (2)
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12.
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Type of Reporting Person (See Instructions)
(IN)
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_______________
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(1)
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Of these shares, 672,246 shares may be deemed to be beneficially owned by William E. Oberndorf solely in his capacity as the sole controlling person of Oberndorf
Investments LLC, 14,800 shares may be deemed to be beneficially owned by William E. Oberndorf solely in his capacity as an authorized signatory for the account of Peter C. Oberndorf, 109 shares may be deemed to be beneficially owned by
William E. Oberndorf solely in his capacity as an authorized signatory for the account of Caroline G. Oberndorf, 5,918 shares may be deemed to be beneficially owned by William E. Oberndorf solely in his capacity as an authorized
signatory for the account of William Oberndorf and 12,550 shares may be deemed to be beneficially owned by William E. Oberndorf solely in his capacity as an authorized signatory for the account of Betty Jane Weimer.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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CUSIP No. 98139A105
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1.
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Names of Reporting Persons
Oberndorf Investments LLC
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
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Sole Voting Power
672,246 (1)
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6.
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Shared Voting Power
0
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7.
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Sole Dispositive Power
672,246 (1)
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8.
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Shared Dispositive Power
0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
672,246
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
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11.
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Percent of Class Represented By Amount in Row (9)
2.0% (2)
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12.
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Type of Reporting Person (See Instructions)
(OO) – limited liability company
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_______________
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(1)
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Power is exercised through William E. Oberndorf as the sole member of the manager of Oberndorf Investments LLC.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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CUSIP No. 98139A105
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1.
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Names of Reporting Persons
Peter C. Oberndorf
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
USA
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Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
|
Sole Voting Power
0
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6.
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Shared Voting Power
14,800 (1)
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
14,800 (1)
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
14,800
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
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11.
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Percent of Class Represented By Amount in Row (9)
**0.1% (2)
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12.
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Type of Reporting Person (See Instructions)
(IN)
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_______________
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(1)
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William E. Oberndorf is an authorized signatory for the account of Peter C. Oberndorf.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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CUSIP No. 98139A105
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1.
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Names of Reporting Persons
Caroline G. Oberndorf
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
USA
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Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
109 (1)
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
109 (1)
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
109
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
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11.
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Percent of Class Represented By Amount in Row (9)
**0.1% (2)
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12.
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Type of Reporting Person (See Instructions)
(IN)
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_______________
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(1)
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William E. Oberndorf is an authorized signatory for the account of Caroline G. Oberndorf.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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CUSIP No. 98139A105
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1.
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Names of Reporting Persons
William Oberndorf
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|
2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
USA
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|
Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
5,918 (1)
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
5,918 (1)
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
5,918
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
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11.
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Percent of Class Represented By Amount in Row (9)
**0.1% (2)
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12.
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Type of Reporting Person (See Instructions)
(IN)
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_______________
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(1)
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William E. Oberndorf is an authorized signatory for the account of William Oberndorf.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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CUSIP No. 98139A105
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1.
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Names of Reporting Persons
Betty Jane Weimer
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
☐
(b)
☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
USA
|
|
Number of
Shares
Beneficially
Owned by Each
Reporting
Person
With:
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5.
|
Sole Voting Power
0
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6.
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Shared Voting Power
12,550 (1)
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
12,550 (1)
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
12,550
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10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
☐
|
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11.
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Percent of Class Represented By Amount in Row (9)
**0.1% (2)
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12.
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Type of Reporting Person (See Instructions)
(IN)
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_______________
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(1)
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William E. Oberndorf is an authorized signatory for the account of Betty Jane Weimer.
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(2)
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Based on 34,126,724 shares of Class A common stock outstanding as of November 5, 2018.
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Item 1. (a)
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Name of Issuer
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Workiva Inc.
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(b)
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Address of Issuer’s Principal Executive Offices
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2900 University Blvd.
Ames, IA 50010
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Item 2. (a)
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Name of Person Filing
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William E. Oberndorf (“WEO”), Oberndorf Investments LLC, a Delaware limited liability
company (“OBI”), Peter C. Oberndorf (“PCO”), Caroline G. Oberndorf (“CGO”), William Oberndorf (“WO”) and Betty Jane Weimer (“BJW”). WEO, OBI, PCO, CGO, WO and BJW are sometimes hereinafter referred to as the “Reporting Persons.”
The Reporting Persons are making this single, joint filing because they may be deemed to
constitute a “group” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the “Act”), although neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting
Persons that a group exists.
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(b), (c)
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Address of Principal Business Office or, if None, Residence; Citizenship of Reporting Persons
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The principal business address of WEO is 615 Front Street, San Francisco, CA 94111. WEO is
a citizen of the United States of America.
The principal business address of OBI is 615 Front Street, San Francisco, CA 94111. OBI is
a Delaware limited liability company.
PCO’s address is 615 Front Street, San Francisco, CA 94111. PCO is a citizen of the United
States of America.
CGO’s address is 615 Front Street, San Francisco, CA 94111. CGO is a citizen of the United
States of America.
WO’s address is 615 Front Street, San Francisco, CA 94111. WO is a citizen of the United
States of America.
BJW’s address is 615 Front Street, San Francisco, CA 94111. BJW is a citizen of the United
States of America.
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(d)
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Title of Class of Securities
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Class A common stock
98139A105
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Item 3.
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Statement filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c):
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Not Applicable.
Provide the following information regarding the aggregate number and percentage of the
class of securities of the issuer identified in Item 1.
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Amount Beneficially Owned
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William E. Oberndorf
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2.1%
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705,623
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0
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705,623
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0
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705,623
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Oberndorf Investments LLC
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2.0%
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672,246
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672,246
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0
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672,246
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0
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Peter C. Oberndorf
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**0.1%
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14,800
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0
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14,800
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0
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14,800
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Caroline G. Oberndorf
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**0.1%
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109
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0
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109
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0
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109
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William Oberndorf
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**0.1%
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5,918
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0
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5,918
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0
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5,918
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Betty Jane Weimer
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**0.1%
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12,550
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0
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12,550
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0
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12,550
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_________________
** Denotes less than
The foregoing percentages are based on 34,126,724 shares of Class A
common stock outstanding as of November 5, 2018 as set forth in Workiva Inc.’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2018 filed with the Securities and Exchange Commission on November 7, 2018.
Instruction.
For computations regarding securities which represent a right to acquire an underlying security
see
§240.13d-3(d)(1).
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following
☒
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Instruction.
Dissolution of a group requires a response to this item.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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No other persons have the right to receive or the power to direct the
receipt of dividends from, or the proceeds from, or other proceeds from the sale of, the Class A common stock held by the Reporting Persons.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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Not Applicable.
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Item 8.
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Identification and Classification of Members of the Group.
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Not Applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not Applicable.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as
a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth
in this statement is true, complete and correct.
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Signature
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Attorney-in-fact for:
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William E. Oberndorf (1)
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Oberndorf Investments LLC (1)
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Peter C. Oberndorf (1)
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Caroline G. Oberndorf (1)
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William Oberndorf (2)
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Betty Jane Weimer (1)
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(1)
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Power of Attorney authorizing Gary Scheier to act on behalf of this person or entity was previously filed.
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(2)
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A Power of Attorney authorizing Gary Scheier to act on behalf of this person or entity is filed as Exhibit B
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EXHIBIT INDEX
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Exhibit
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Document Description
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A
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Agreement Pursuant to Rule 13d-1(k)
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B
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Power of Attorney
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