SEC Form 4 · accession 0001127602-17-033626
WELLS FARGO & COMPANY/MN · WFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Sloan
Officer — CEO & President · Director
Period of report
Nov 30, 2017
Accepted (ET)
Dec 1, 2017 · 1:47 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 | Nov 30, 2017 | M | 205,790 | $31.40 | A | 952,540 | D | |
| Common Stock, $1 2/3 Par ValueF1 | Nov 30, 2017 | F | 162,101 | $56.47 | D | 790,439 | D | |
| Common Stock, $1 2/3 Par ValueF2 | holding | — | — | — | 1,568 | 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 OptionF3 | $31.40 | Nov 30, 2017 | M | 205,790 | D | — | Feb 26, 2018 | Common Stock, $1 2/3 Par Value | 205,790 | 205,790 | D |
Explanation of responses
- F1Includes the following shares acquired through Wells Fargo & Company's (the "Company") dividend reinvestment plan: 27.127 shares on 9/1/2017.
- F2Reflects 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 Company common stock.
- F3The employee stock options, representing a right to purchase a total of 494,080 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant (2/26/2009).