SEC Form 4 · accession 0001127602-17-021041
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R. Shrewsberry
Officer — Senior Executive VP & CFO
Period of report
Apr 28, 2017
Accepted (ET)
Jun 9, 2017 · 1:34 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 | Apr 28, 2017 | G | 4,876 | $0.00 | D | 313,285 | I | Through Family Trust |
| Common Stock, $1 2/3 Par Value | Jun 8, 2017 | M | 92,230 | $31.40 | A | 92,230 | D | |
| Common Stock, $1 2/3 Par Value | Jun 8, 2017 | F | 74,473 | $52.56 | D | 17,757 | D | |
| Common Stock, $1 2/3 Par ValueF1 | holding | — | — | — | 7,418 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Purchase OptionF2 | $31.40 | Jun 8, 2017 | M | 92,230 | D | — | Feb 26, 2018 | Common Stock, $1 2/3 Par Value | 92,230 | 0 | D |
Explanation of responses
- F1Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of May 31, 2017, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock.
- F2The employee stock options, representing a right to purchase a total of 92,230 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/26/2009).