SEC Form 5 · accession 0001127602-17-005336
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G Stumpf
Officer — Former Chairman & CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 2:38 pm EST
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 Value | Aug 17, 2016 | G | 258,339 | $0.00 | A | 1,720,353 | I | Through Family Trust |
| Common Stock, $1 2/3 Par Value | Aug 17, 2016 | G | 258,339 | $0.00 | D | 100 | D | |
| Common Stock, $1 2/3 Par Value | Sep 6, 2016 | G | 65,000 | $0.00 | A | 1,720,353 | I | Through Family Trust |
| Common Stock, $1 2/3 Par Value | Sep 6, 2016 | G | 32,500 | $0.00 | D | 167,500 | I | Through JS GRAT |
| Common Stock, $1 2/3 Par Value | Sep 6, 2016 | G | 32,500 | $0.00 | D | 167,500 | I | Through RS GRAT |
| Common Stock, $1 2/3 Par ValueF2 | holding | — | — | — | 89,915 | 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 | — | — | — | 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 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflect the transfer of shares already owned between personal accounts of the reporting person and the reporting person's spouse. No change in the reporting person's aggregate beneficial ownership occurred as a result of these transfers.
- F2Reflects share equivalent of units in Wells Fargo ESOP Fund of 401(k) Plan (the "Plan") as of September 30, 2016, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock.