SEC Form 4 · accession 0001127602-17-032528
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Franklin R Codel
Officer — Former Sr. EVP
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 8:30 am 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 | holding | — | — | — | 92,619 | D | ||
| Common Stock, $1 2/3 Par Value | holding | — | — | — | 20 | I | By child | |
| Common Stock, $1 2/3 Par ValueF1 | holding | — | — | — | 11,758 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share RightF2,F3 | — | Nov 15, 2017 | D | 482 | D | — | — | Common Stock, $1 2/3 Par Value | 482 | 0 | D |
| Restricted Share RightF2,F4 | — | Nov 15, 2017 | D | 9,699 | D | — | — | Common Stock, $1 2/3 Par Value | 9,699 | 0 | D |
| Restricted Share RightF2,F5 | — | Nov 15, 2017 | D | 5,086 | D | — | — | Common Stock, $1 2/3 Par Value | 5,086 | 0 | D |
| Restricted Share RightF2,F6 | — | Nov 15, 2017 | D | 731 | D | — | — | Common Stock, $1 2/3 Par Value | 731 | 0 | D |
| Employee Stock Purchase OptionF7 | $13.05 | Nov 16, 2017 | D | 20,566 | D | — | — | Common Stock, $1 2/3 Par Value | 20,566 | 0 | D |
| Employee Stock Purchase OptionF8 | $31.40 | Nov 16, 2017 | D | 40,850 | D | — | — | Common Stock, $1 2/3 Par Value | 40,850 | 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 October 31, 2017, 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 2/23/2016 to the reporting person as part of the reporting person's 2015 annual incentive compensation award. In accordance with the terms of the award, these RSRs forfeited on 11/15/2017.
- F4These RSRs were granted on 2/24/2015 to the reporting person. In accordance with the terms of the award, these RSRs forfeited on 11/15/2017.
- F5These RSRs were granted on 2/25/2014 to the reporting person. In accordance with the terms of the award, these RSRs forfeited on 11/15/2017.
- F6These RSRs were granted on 2/28/2017 to the reporting person as part of the reporting person's 2016 annual incentive compensation award. In accordance with the terms of the award, these RSRs forfeited on 11/15/2017.
- F7The employee stock options, representing a right to purchase a total of 49,600 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/24/2010). In accordance with the terms of the award, these options expired on 11/16/2017.
- F8The employee stock options, representing a right to purchase a total of 40,850 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/26/2009). In accordance with the terms of the award, these options expired on 11/16/2017.