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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Share Right | (2) | 11/15/2017 | D | 482.3635 | (3) | (3) | Common Stock, $1 2/3 Par Value | 482.3635 | $ 0 | 0 | D | ||||
Restricted Share Right | (2) | 11/15/2017 | D | 9,699.3484 | (4) | (4) | Common Stock, $1 2/3 Par Value | 9,699.3484 | $ 0 | 0 | D | ||||
Restricted Share Right | (2) | 11/15/2017 | D | 5,085.7919 | (5) | (5) | Common Stock, $1 2/3 Par Value | 5,085.7919 | $ 0 | 0 | D | ||||
Restricted Share Right | (2) | 11/15/2017 | D | 730.8028 | (6) | (6) | Common Stock, $1 2/3 Par Value | 730.8028 | $ 0 | 0 | D | ||||
Employee Stock Purchase Option | $ 13.05 | 11/16/2017 | D | 20,566 | (7) | (7) | Common Stock, $1 2/3 Par Value | 20,566 | $ 0 | 0 | D | ||||
Employee Stock Purchase Option | $ 31.4 | 11/16/2017 | D | 40,850 | (8) | (8) | Common Stock, $1 2/3 Par Value | 40,850 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Codel Franklin R 1 HOME CAMPUS DES MOINES, IA 50328 |
Former Sr. EVP |
Franklin R. Codel, by Anthony R. Augliera, as Attorney-in-Fact | 11/17/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects 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. |
(2) | Each Restricted Share Right ("RSR") represents a contingent right to receive one share of Company common stock. |
(3) | These 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. |
(4) | These 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. |
(5) | These 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. |
(6) | These 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. |
(7) | The 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. |
(8) | The 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. |