Statement of Changes in Beneficial Ownership (4)
March 07 2017 - 1:33PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Modjtabai Avid
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2. Issuer Name
and
Ticker or Trading Symbol
WELLS FARGO & COMPANY/MN
[
WFC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Sr. Executive Vice President
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(Last)
(First)
(Middle)
420 MONTGOMERY STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/3/2017
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(Street)
SAN FRANCISCO, CA 94104
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $1 2/3 Par Value
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3/3/2017
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M
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210810
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A
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$31.40
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210910
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D
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Common Stock, $1 2/3 Par Value
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3/3/2017
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F
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161272
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D
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$58.89
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49638
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D
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Common Stock, $1 2/3 Par Value
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3/3/2017
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M
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62420
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A
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$13.05
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112058
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D
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Common Stock, $1 2/3 Par Value
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3/3/2017
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F
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39185
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D
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$58.89
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72873
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D
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Common Stock, $1 2/3 Par Value
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10464.5916
(1)
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I
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Through 401(k) Plan
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Common Stock, $1 2/3 Par Value
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369307
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I
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Through Trust
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Purchase Option
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$31.40
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3/3/2017
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M
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210810
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(2)
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2/26/2018
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Common Stock, $1 2/3 Par Value
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210810
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$0
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0
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D
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Employee Stock Purchase Option
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$13.05
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3/3/2017
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M
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62420
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(3)
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2/24/2019
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Common Stock, $1 2/3 Par Value
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62420
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$0
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0
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D
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Explanation of Responses:
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(
1)
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Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of February 28, 2017, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock.
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(
2)
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The employee stock options, representing a right to purchase a total of 210,810 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/26/2009).
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(
3)
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The employee stock options, representing a right to purchase a total of 320,000 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/24/2010).
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Modjtabai Avid
420 MONTGOMERY STREET
SAN FRANCISCO, CA 94104
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Sr. Executive Vice President
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Signatures
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Avid Modjtabai, by Anthony R. Augliera, as Attorney-in-Fact
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3/7/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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