0001127602-19-009006.txt : 20190228 0001127602-19-009006.hdr.sgml : 20190228 20190228174458 ACCESSION NUMBER: 0001127602-19-009006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190226 FILED AS OF DATE: 20190228 DATE AS OF CHANGE: 20190228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVY RICHARD CENTRAL INDEX KEY: 0001201666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-02979 FILM NUMBER: 19645324 MAIL ADDRESS: STREET 1: 343 SANSOME STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WELLS FARGO & COMPANY/MN CENTRAL INDEX KEY: 0000072971 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 410449260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94163 BUSINESS PHONE: 6126671234 MAIL ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94163 FORMER COMPANY: FORMER CONFORMED NAME: WELLS FARGO & CO/MN DATE OF NAME CHANGE: 19981103 FORMER COMPANY: FORMER CONFORMED NAME: NORWEST CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWEST BANCORPORATION DATE OF NAME CHANGE: 19830516 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-02-26 0000072971 WELLS FARGO & COMPANY/MN WFC 0001201666 LEVY RICHARD 301 SOUTH COLLEGE STREET CHARLOTTE NC 28202 1 Executive VP & Controller Common Stock, $1 2/3 Par Value 95222 I Through RL & DL Trust Common Stock, $1 2/3 Par Value 2217 D Common Stock, $1 2/3 Par Value 99 I Ira Common Stock, $1 2/3 Par Value 2005.41 I Through 401(k) Plan 2016 Performance Shares 2019-02-26 4 A 0 61882.353 0 A Common Stock, $1 2/3 Par Value 61882.353 61882.353 D Restricted Share Right 2019-02-26 4 A 0 11091 0 A Common Stock, $1 2/3 Par Value 11091 11091 D Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of January 31, 2019, as if investable cash equivalents held by the Plan were fully invested in Wells Fargo & Company (the "Company") common stock. Each Performance Share represents a contingent right to receive one share of Company common stock upon vesting based on the attainment of pre-established performance goals. Represents the final number of 2016 Performance Shares earned based on the Company's attainment of pre-established performance goals for the three-year performance period ended December 31, 2018, as provided under the terms of a Performance Share award granted on February 23, 2016, which is exempt under Rule 16b-3(d). The 2016 Performance Shares will be settled in shares of common stock of the Company on March 15, 2019. As a condition to receiving the award, the reporting person agreed to hold, while employed by the Company and for at least one year after retirement, shares of Company common stock equal to at least 50% of the after-tax shares (assuming a 50% tax rate) acquired upon vesting. Each Restricted Share Right ("RSR") represents a contingent right to receive one share of Company common stock. These RSRs, which were awarded as a portion of long-term incentive compensation for 2019, vest in three installments: one-third on 3/15/2020, 3/15/2021, and 3/15/2022. As a condition to receiving the grant, the reporting person agreed to hold, while employed by the Company and for at least one year after retirement, shares of Company common stock equal to at least 50% of the after-tax shares (assuming a 50% tax rate) acquired upon vesting. Richard Levy, by Anthony R. Augliera, as Attorney-in-Fact 2019-02-28