SEC Form 4 · accession 0001127602-16-063434

WELLS FARGO & COMPANY/MN · WFC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Sep 27, 2016

Accepted (ET)

Sep 29, 2016 · 5:15 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000072971

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock, $1 2/3 Par Value	holding	—	—	—	258,439	D
Common Stock, $1 2/3 Par Value	holding	—	—	—	1,397,014	I	Through Family Trust
Common Stock, $1 2/3 Par Value^F1	holding	—	—	—	89,790	I	Through 401(k) Plan
Common Stock, $1 2/3 Par Value	holding	—	—	—	7,736	I	Through Ira
Common Stock, $1 2/3 Par Value	holding	—	—	—	112,000	I	Through JJS 2011 Irrevocable Trust
Common Stock, $1 2/3 Par Value	holding	—	—	—	200,000	I	Through JS GRAT
Common Stock, $1 2/3 Par Value	holding	—	—	—	200,000	I	Through RS GRAT
Common Stock, $1 2/3 Par Value	holding	—	—	—	150,000	I	Through RT 2011 Irrevocable Trust
Common Stock, $1 2/3 Par Value	holding	—	—	—	4,863	I	Through Self Employed Pension Plan
Common Stock, $1 2/3 Par Value	holding	—	—	—	5,387	I	Through Spouse's Ira

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Restricted Share Right^F2,F3	—	Sep 27, 2016	D	7,757	D	—	—	Common Stock, $1 2/3 Par Value	7,757	D
Restricted Share Right^F2,F4	—	Sep 27, 2016	D	12,573	D	—	—	Common Stock, $1 2/3 Par Value	12,573	D
Restricted Share Right^F2,F5	—	Sep 27, 2016	D	17,587	D	—	—	Common Stock, $1 2/3 Par Value	17,587	D

F1Reflects share equivalent of units in Wells Fargo ESOP Fund of 401(k) Plan (the "Plan") as of August 31, 2016, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company (the "Company") common stock.
F2Each Restricted Share Right ("RSR") represents a contingent right to receive one share of Company common stock.
F3These RSRs were granted on 2/25/2014 to the reporting person as part of the reporting person's 2013 annual incentive compensation award. As previously disclosed by the Company on a Form 8-K filed 9/28/2016, these RSRs were forfeited on 9/27/2016.
F4These RSRs were granted on 2/24/2015 to the reporting person as part of the reporting person's 2014 annual incentive compensation award. As previously disclosed by the Company on a Form 8-K filed 9/28/2016, these RSRs were forfeited on 9/27/2016.
F5These RSRs were granted on 2/23/2016 to the reporting person as part of the reporting person's 2015 annual incentive compensation award. As previously disclosed by the Company on a Form 8-K filed 9/28/2016, these RSRs were forfeited on 9/27/2016.