Statement of Changes in Beneficial Ownership (4)
July 19 2016 - 1:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
LEVY RICHARD
|
2. Issuer Name
and
Ticker or Trading Symbol
WELLS FARGO & COMPANY/MN
[
WFC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive VP & Controller
|
(Last)
(First)
(Middle)
343 SANSOME STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2016
|
(Street)
SAN FRANCISCO, CA 94104
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Common Stock, $1 2/3 Par Value
|
4/29/2016
|
|
G
|
V
|
41000
|
D
|
$0
|
743
|
D
|
|
Common Stock, $1 2/3 Par Value
|
4/29/2016
|
|
G
|
V
|
41000
|
A
|
$0
|
134222
|
I
|
Through RL & DL Trust
|
Common Stock, $1 2/3 Par Value
|
7/15/2016
|
|
M
|
|
2517.7553
(1)
|
A
|
$0
|
3260.7553
|
D
|
|
Common Stock, $1 2/3 Par Value
|
7/15/2016
|
|
F
|
|
1314.7553
|
D
|
$47.71
|
1946
|
D
|
|
Common Stock, $1 2/3 Par Value
|
|
|
|
|
|
|
|
99
|
I
|
Ira
|
Common Stock, $1 2/3 Par Value
|
|
|
|
|
|
|
|
1182.4551
(2)
|
I
|
Through 401(k) Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
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 of Derivative Security: 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
|
Restricted Share Right
|
(3)
|
7/15/2016
|
|
M
|
|
|
2517.7553
|
(4)
|
(4)
|
Common Stock, $1 2/3 Par Value
|
2517.7553
|
$0
|
5033.3969
|
D
|
|
Explanation of Responses:
|
(
1)
|
Number of shares represents a Restricted Share Right ("RSR") vesting on 7/15/2016. Original grant date was 6/24/2014. This vesting represents one-fourth of the original amount of RSRs granted (plus dividend equivalents reinvested in additional RSRs).
|
(
2)
|
Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of June 30, 2016, as if investable cash equivalents held by the Plan were fully invested in Wells Fargo & Company (the "Company") common stock.
|
(
3)
|
Each RSR represents a contingent right to receive one share of Company common stock.
|
(
4)
|
These RSRs vest in four installments: one-fourth on 7/15/2015, 7/15/2016, 7/15/2017, and 7/15/2018. As a condition to receiving the grant, the reporting person agreed to hold, while employed by the Company and for at least one year after retirement, shares of Company common stock equal to at least 50% of the after-tax shares (assuming a 50% tax rate) acquired upon vesting.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
LEVY RICHARD
343 SANSOME STREET
SAN FRANCISCO, CA 94104
|
|
|
Executive VP & Controller
|
|
Signatures
|
Richard Levy, by Anthony R. Augliera, as Attorney-in-Fact
|
|
7/19/2016
|
**
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 control number.
|
Wells Fargo (NYSE:WFC)
Historical Stock Chart
From Aug 2024 to Sep 2024
Wells Fargo (NYSE:WFC)
Historical Stock Chart
From Sep 2023 to Sep 2024