Current Report Filing (8-k)
July 27 2017 - 1:42PM
Edgar (US Regulatory)
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
Date of Report (date of earliest
event reported): July 27, 2017
WELLS
FARGO & COMPANY
(Exact name of registrant as specified in its charter)
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Delaware
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001-2979
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No. 41-0449260
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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420 Montgomery Street,
San Francisco, California
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94104
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code:
1-866-249-3302
Not applicable
(Former name or former address, if changed since last report)
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:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act (17 CFR 230.405) or Rule
12b-2
of the Exchange Act (17 CFR
240.12b-2).
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. ☐
Item 9.01.
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Financial Statements and Exhibits
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Exhibits are filed herewith in
connection with the Registration Statement on
Form S-3
(File
No. 333-202840)
filed by Wells Fargo & Company with the Securities and Exchange
Commission.
On July 27, 2017, Wells Fargo & Company issued the following Medium-Term Notes, Series K:
Principal at Risk Securities Linked to the Russell 2000
®
Index (the Notes).
The purpose of this Current Report is to file with the Securities and Exchange Commission the form of Note related to such
issuance and the opinion of Faegre Baker Daniels LLP regarding the Notes.
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4.1
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Form of Medium-Term Notes, Series K, Principal at Risk Securities Linked to the Russell 2000
®
Index.
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5.1
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Opinion of Faegre Baker Daniels LLP regarding the Notes.
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23.1
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Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1).
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2
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed
on its behalf by the undersigned hereunto duly authorized.
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WELLS FARGO & COMPANY
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DATED: July 27, 2017
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/s/ Neal A. Blinde
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Neal A. Blinde
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Executive Vice President and Treasurer
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3
Index to Exhibits
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Exhibit No.
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Description
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Method of Filing
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4.1
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Form of Medium-Term Notes, Series K, Principal at Risk Securities Linked to the Russell 2000
®
Index.
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Electronic Transmission
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5.1
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Opinion of Faegre Baker Daniels LLP regarding the Notes.
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Electronic Transmission
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23.1
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Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1).
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4
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