UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act (17 CFR 230.405) or Rule 12b-2 of the Exchange Act (17 CFR 240.12b-2).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.03. | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
On September 18, 2023, Wells Fargo & Company (the “Company”) filed with the Delaware Secretary of State a Certificate Eliminating the Certificate of Designations with respect to the Company’s 5.85% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A Preferred Stock, Series Q (the “Series Q Preferred”), which, effective upon filing, eliminated from the Company’s Restated Certificate of Incorporation all matters set forth in the Certificate of Designations for the Series Q Preferred, filed with the Delaware Secretary of State on July 19, 2013. The Certificate Eliminating the Certificate of Designations with respect to the Company’s Series Q Preferred, is filed herewith as Exhibit 3.1 and is incorporated herein by reference.
Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits
Exhibit No. |
Description |
Location | ||||
3.1 | Certificate Eliminating the Certificate of Designations with respect to the Company’s Non-Cumulative Perpetual Class A Preferred Stock, Series Q. | Filed herewith | ||||
104 | The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. | Filed herewith |
2
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
WELLS FARGO & COMPANY | ||||||
DATED: September 18, 2023 | /s/ Bryant Owens | |||||
Bryant Owens | ||||||
Senior Vice President and Assistant Treasurer |
Exhibit 3.1
CERTIFICATE ELIMINATING THE CERTIFICATE OF DESIGNATIONS
WITH RESPECT TO THE
5.85% FIXED-TO-FLOATING RATE NON-CUMULATIVE PERPETUAL CLASS A PREFERRED STOCK, SERIES Q
OF
WELLS FARGO & COMPANY
Pursuant to Section 151 of the General
Corporation Law of the State of Delaware
The undersigned DOES HEREBY CERTIFY as follows:
1. | Resolutions were adopted by the Securities Committee of the Board of Directors of Wells Fargo & Company, a Delaware corporation (the Company), which resolutions are set forth in a Certificate of Designations filed with the Secretary of State of the State of Delaware on July 19, 2013, providing for and authorizing the issuance of 69,000 shares of the Companys 5.85% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A Preferred Stock, Series Q (the Series Q Preferred Stock); |
2. | All outstanding shares of Series Q Preferred Stock were redeemed by the Company on September 15, 2023 and none of the authorized shares of the Companys Series Q Preferred Stock are outstanding and none will be issued subject to the Certificate of Designations previously filed on July 19, 2013 with the Secretary of State of the State of Delaware with respect to such series; |
3. | The following resolutions were duly adopted by Securities Committee I of the Board of Directors of the Company pursuant to the written consent of Securities Committee I duly adopted on August 9, 2023: |
WHEREAS, resolutions were adopted by the Securities Committee of the Board of Directors (the Board) of Wells Fargo & Company, a Delaware corporation (the Company), which resolutions are set forth in a Certificate of Designations (the Series Q Certificate of Designations) filed with the Secretary of State of the State of Delaware on July 19, 2013 providing for and authorizing the issuance of 69,000 shares of the Companys 5.85% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A, Series Q Preferred Stock (the Series Q Preferred Stock);
WHEREAS, on September 15, 2023, all 69,000 issued and outstanding shares of the Series Q Preferred Stock will be redeemed by the Company (the Series Q Redemption).
NOW THEREFORE BE IT
RESOLVED that, after the Series Q Redemption, no shares of the Series Q Preferred Stock are outstanding and none will be issued subject to the Series Q Certificate of Designations.
RESOLVED that, after the Series Q Redemption, all matters set forth in the Series Q Certificate of Designations with respect to the Series Q Preferred Stock be eliminated from the Certificate of Incorporation of the Company.
RESOLVED that, after the Series Q Redemption, the President, any Senior Executive Vice President, any Executive Vice President, any Senior Vice President, the Treasurer, any Assistant Treasurer, the Secretary and any Assistant Secretary of the Company, and each of them, are hereby authorized and directed to file a Certificate with the office of the Secretary of State of the State of Delaware setting forth a copy of these resolutions whereupon all matters set forth in the Series Q Certificate of Designations with respect to the Series Q Preferred Stock shall be eliminated from the Certificate of Incorporation of the Company.
[Signature Page Follows]
IN WITNESS WHEREOF, WELLS FARGO & COMPANY has caused this Certificate to be signed by Bryant Owens, its Senior Vice President and Assistant Treasurer, and attested by Mary E. Schaffner, its Assistant Secretary, this 18th day of September, 2023.
WELLS FARGO & COMPANY | ||||
By | /s/ Bryant Owens |
|||
Senior Vice President and | ||||
Assistant Treasurer |
ATTEST: |
/s/ Mary E. Schaffner |
Assistant Secretary |
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