SEC Form 4 · accession 0001127602-17-015300
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Franklin R Codel
Officer — Sr. Executive Vice President
Period of report
Apr 19, 2017
Accepted (ET)
Apr 21, 2017 · 7:13 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 Value | holding | — | — | — | 87,226 | D | ||
| Common Stock, $1 2/3 Par Value | holding | — | — | — | 20 | I | By child | |
| Common Stock, $1 2/3 Par ValueF1 | holding | — | — | — | 11,539 | I | Through 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3 | — | Apr 19, 2017 | D | 0 | D | — | — | Common Stock, $1 2/3 Par Value | 0 | 18,452 | D |
Explanation of responses
- F1Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of March 31, 2017, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock.
- F2Conversion price is 1-for-1. Includes shares held through supplemental 401(k) plan and deferred compensation plan.
- F3Deferred compensation shares payable in installments based upon executive's election. Supplemental 401(k) plan shares payable upon retirement.