SEC Form 4 · accession 0001127602-15-023606
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hope A. Hardison
Officer — Executive Vice President
Period of report
Jul 27, 2015
Accepted (ET)
Jul 29, 2015 · 1:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072971
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1 2/3 Par ValueF1 | Jul 27, 2015 | M | 4,750 | $0.00 | A | 5,576 | D | |
| Common Stock, $1 2/3 Par Value | Jul 27, 2015 | F | 2,479 | $57.59 | D | 3,097 | D | |
| Common Stock, $1 2/3 Par ValueF2 | holding | — | — | — | 10,626 | I | Through 401(k) Plan | |
| Common Stock, $1 2/3 Par Value | holding | — | — | — | 56,109 | I | Through Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share RightF3,F4 | — | Jul 27, 2015 | M | 4,750 | D | — | — | Common Stock, $1 2/3 Par Value | 4,750 | 0 | D |
Explanation of responses
- F1Number of shares represents a Restricted Share Right ("RSR") vesting on 7/27/2015. Original grant date was 7/27/2010. This vesting represents 40% of the original amount of RSRs granted (plus dividend equivalents reinvested in additional RSRs).
- F2Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of June 30, 2015, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company (the "Company") common stock.
- F3Each RSR represents a contingent right to receive one share of Company common stock.
- F4These RSRs vest in three installments: 30% on 7/27/2013, 30% on 7/27/2014, and 40% on 7/27/2015.