FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/15/2014 |
3. Issuer Name and Ticker or Trading Symbol
WELLS FARGO & COMPANY/MN [ WFC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $1 2/3 Par Value | 14 | D | |
Common Stock, $1 2/3 Par Value | 6,352.6166 | I | Through 401(k) Plan |
Common Stock, $1 2/3 Par Value | 109,538 | I | Through Family Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Purchase Option | (1) | 02/28/2016 | Common Stock, $1 2/3 Par Value | 33,560 | $32.245 | D | |
Employee Stock Purchase Option | (2) | 02/27/2017 | Common Stock, $1 2/3 Par Value | 56,060 | $34.39 | D | |
Employee Stock Purchase Option | (3) | 02/26/2018 | Common Stock, $1 2/3 Par Value | 92,230 | $31.4 | D | |
Phantom Stock Units | (4) | (4) | Common Stock, $1 2/3 Par Value | 21,135.9756 | (5) | D | |
Restricted Share Right | (6) | (6) | Common Stock, $1 2/3 Par Value | 20,055.4473 | (7) | D | |
Restricted Share Right | (8) | (8) | Common Stock, $1 2/3 Par Value | 10,849.4116 | (7) | D | |
Restricted Share Right | (9) | (9) | Common Stock, $1 2/3 Par Value | 47,885.0403 | (7) | D | |
Restricted Share Right | (10) | (10) | Common Stock, $1 2/3 Par Value | 22,064 | (7) | D |
Explanation of Responses: |
1. The employee stock options granted on 2/28/2006, representing a right to purchase a total of 33,560 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant. |
2. The employee stock options granted on 2/27/2007, representing a right to purchase a total of 56,060 shares, became exercisable in three equal annual installments beginning on the first anniversary of the date of grant. |
3. The employee stock options granted on 2/26/2008, 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. |
4. Deferred compensation shares payable in installments based upon executive's election. Supplemental 401(k) plan shares payable upon retirement. |
5. Conversion price is 1-for-1. Includes shares held through supplemental 401(k) plan and deferred compensation plan. |
6. These Restricted Share Rights ("RSRs") vest in three installments: one-third on 3/15/2014, 3/15/2015, and 3/15/2016. These RSRs were granted to the reporting person as part of the reporting person's 2012 annual incentive compensation award. |
7. Each RSR represents a contingent right to receive one share of Wells Fargo & Company common stock. |
8. These RSRs vest in three installments: one-third on 3/15/2013, 3/15/2014, and 3/15/2015. These RSRs were granted to the reporting person as part of the reporting person's 2011 annual incentive compensation award. |
9. These RSRs vest in three installments: 30% on 3/15/2013, 30% on 3/15/2014, and 40% on 3/15/2015. |
10. These RSRs vest in three installments: one-third on 3/15/2015, 3/15/2016, and 3/15/2017. These RSRs were granted to the reporting person as part of the reporting person's 2013 annual incentive compensation award. |
Remarks: |
Exhibit 24 - Power of Attorney |
John R. Shrewsberry, by Anthony R. Augliera, as Attorney-in-Fact | 05/23/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |