FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
WELLS FARGO & COMPANY/MN [ WFC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock, $1 2/3 Par Value | 08/17/2016 | G(1) | 258,339 | A | $0 | 1,720,353 | I | Through Family Trust | |||||||
Common Stock, $1 2/3 Par Value | 08/17/2016 | G(1) | 258,339 | D | $0 | 100 | D | ||||||||
Common Stock, $1 2/3 Par Value | 09/06/2016 | G(1) | 65,000 | A | $0 | 1,720,353 | I | Through Family Trust | |||||||
Common Stock, $1 2/3 Par Value | 09/06/2016 | G(1) | 32,500 | D | $0 | 167,500 | I | Through JS GRAT | |||||||
Common Stock, $1 2/3 Par Value | 09/06/2016 | G(1) | 32,500 | D | $0 | 167,500 | I | Through RS GRAT | |||||||
Common Stock, $1 2/3 Par Value | 89,914.9121(2) | I | Through 401(k) Plan | ||||||||||||
Common Stock, $1 2/3 Par Value | 7,736.164 | I | Through Ira | ||||||||||||
Common Stock, $1 2/3 Par Value | 112,000 | I | Through JJS 2011 Irrevocable Trust | ||||||||||||
Common Stock, $1 2/3 Par Value | 150,000 | I | Through RT 2011 Irrevocable Trust | ||||||||||||
Common Stock, $1 2/3 Par Value | 4,863.447 | I | Through Self Employed Pension Plan | ||||||||||||
Common Stock, $1 2/3 Par Value | 5,387.218 | I | Through Spouse's Ira |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Reflect the transfer of shares already owned between personal accounts of the reporting person and the reporting person's spouse. No change in the reporting person's aggregate beneficial ownership occurred as a result of these transfers. |
2. Reflects share equivalent of units in Wells Fargo ESOP Fund of 401(k) Plan (the "Plan") as of September 30, 2016, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock. |
John G. Stumpf, by Anthony R. Augliera, as Attorney-in-Fact | 02/13/2017 | |
** 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 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). | ||
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. |