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UNITED STATES FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES Wells Fargo & Company ________________________________________________________________________________________________________________ Securities Act registration statement file number to which this form relates: 333-154879 Securities to be registered pursuant to Section 12(g) of the Act: None INFORMATION REQUIRED IN REGISTRATION STATEMENT Item 1. Description of Registrants Securities to be Registered The description of the general terms and provisions of the 8.00% Non-Cumulative Perpetual Class A Preferred Stock, Series J, no par value (the Series J Preferred Stock) of Wells Fargo & Company (the Registrant) and the Depositary Shares of the Registrant, each representing a 1/40th interest in a share of Series J Preferred Stock (the Depositary Shares) is incorporated herein by reference to the descriptions included under the captions New Wells Fargo Preferred Stock to be Issued in the MergerWells Fargos 8.00% Non-Cumulative Perpetual Class A Preferred Stock, Series J, no par value and New Wells Fargo Preferred Stock to be Issued in the MergerDescription of the Series J Depositary Shares in the proxy statement-prospectus filed on November 24, 2008 and included as part of the
Registrants registration statement on Form S-4 (Registration No. 333-154789) filed with the Securities and Exchange Commission (the SEC) on October 31, 2008 and amended on November 18, 2008 and November 21, 2008 in connection with the pending merger of Wachovia Corporation with and into the Registrant. Item 2. Exhibits.
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
__________________________________________________________________________________________________________________
(Exact Name of Registrant as Specified in Its Charter)
Delaware
41-0449260
(State of Incorporation or Organization)
(I.R.S. Employer Identification No.)
420 Montgomery Street
San Francisco, California
94163
(Address of Principal Executive Offices)
(Zip Code)
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class
Name of Each Exchange on Which
to be so Registered
Each Class is to be Registered
Depositary Shares, each representing a 1/40th interest in
a share of 8.00% Non-Cumulative Perpetual Class A
New York Stock Exchange, Inc.
Preferred Stock, Series J of Wells Fargo & Company, no
par value
If this form relates to the registration of a class of
If this form relates to the registration of a class of
securities pursuant to Section 12(b) of the Exchange
securities pursuant to Section 12(g) of the Exchange
Act and is effective pursuant to General Instruction
Act and is effective pursuant to General Instruction
A.(c), please check the following box: þ
A.(d), please check the following box: ¨
3(a)
Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the
Registrants Current Report on Form 8-K filed September 28, 2006).
3(b)
Certificate of Designations for the Registrants 2007 ESOP Cumulative Convertible
Preferred Stock (incorporated by reference to Exhibit 3(a) to the Registrants Current
Report on Form 8-K filed March 19, 2007).
3(c)
Certificate Eliminating the Certificate of Designations for the Registrants 1997 ESOP
Cumulative Convertible Preferred Stock (incorporated by reference to Exhibit 3(b) to the
Registrants Current Report on Form 8-K filed March 19, 2007).
3(d)
Certificate of Designations for the Registrants 2008 ESOP Cumulative Convertible
Preferred Stock (incorporated by reference to Exhibit 3(a) to the Registrants Current
Report on Form 8-K filed March 18, 2008).
3(e)
Certificate Eliminating the Certificate of Designations for the Registrants 1998 ESOP
Cumulative Convertible Preferred Stock (incorporated by reference to Exhibit 3(b) to the
Registrants Current Report on Form 8-K filed March 18, 2008).
3(f)
Certificate of Designations for the Registrants Non-Cumulative Perpetual Preferred Stock,
Series A (incorporated by reference to Exhibit 4.8 to the Registrants Current Report on
Form 8-K filed May 19, 2008).
3(g)
Certificate of Designations for the Registrants Non-Cumulative Perpetual Preferred Stock,
Series B (incorporated by reference to Exhibit 4.8 to the Registrants Current Report on
Form 8-K filed September 10, 2008).
3(h)
Certificate of Designations for the Registrants Fixed Rate Cumulative Perpetual Preferred
Stock, Series D (incorporated by reference to Exhibit 4.1 to the Registrants Current Report
on Form 8-K filed October 30, 2008).
3(i)
Certificate of Designations for the Registrants Dividend Equalization Preferred Shares
(incorporated by reference to Exhibit 4.1 to the Registrants Current Report on Form 8-K
filed December 30, 2008).
3(j)
Certificate of Designations for the Registrants Class A Preferred Stock, Series G
(incorporated by reference to Exhibit 4.2 to the Registrants Current Report on Form 8-K
filed December 30, 2008).
3(k)
Certificate of Designations for the Registrants Class A Preferred Stock, Series H
(incorporated by reference to Exhibit 4.3 to the Registrants Current Report on Form 8-K
filed December 30, 2008).
3(l)
Certificate of Designations for the Registrants Class A Preferred Stock, Series I
(incorporated by reference to Exhibit 4.4 to the Registrants Current Report on Form 8-K
filed December 30, 2008).
3(m)
Certificate of Designations for the Series J Preferred Stock (incorporated by reference to
Exhibit 4.5 to the Registrants Current Report on Form 8-K filed December 30, 2008).
3(n)
Certificate of Designations for the Registrants Fixed-To-Floating Rate Non-Cumulative
Perpetual Class A Preferred Stock, Series K (incorporated by reference to Exhibit 4.6 to the
Registrants Current Report on Form 8-K filed December 30, 2008).
3(o)
Certificate of Designations for the Registrants 7.50% Non-Cumulative Perpetual
Convertible Class A Preferred Stock, Series L (incorporated by reference to Exhibit 4.7 to
the Registrants Current Report on Form 8-K filed December 30, 2008).
3(p)
Certificate of Designations for the Registrants Class A Preferred Stock, Series M
(incorporated by reference to Exhibit 4.8 to the Registrants Current Report on Form 8-K
filed December 30, 2008).
3(q)
By-Laws (incorporated by reference to Exhibit 3 to the Companys Current Report on
Form 8-K filed September 29, 2008).
4.1
Deposit Agreement, dated as of December 21, 2007, between Wachovia, U.S. Bank,
National Association as depositary, and the holders from time to time of Depositary Shares
(incorporated by reference to Exhibit 4.9 to the Registrants Amendment No. 1 to
Registration Statement on Form S-4, filed with the SEC on November 18, 2008).
4.2
Form of Depositary Receipt for the Depositary Shares.*
4.3
Form of Certificate representing the Series J Preferred Stock.*
4.4
Form of Letter Agreement between the Registrant and U.S. Bank National Association*
* Filed herewith.
SIGNATURE |
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.
Wells Fargo & Company | ||||
Date: December 30, 2008 | By: /s/ Barbara S. Brett | |||
Barbara S. Brett | ||||
Senior Vice President and Assistant Treasurer |
Exhibit 4.2
UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (DTC), TO WELLS FARGO & COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE, OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASUMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN.
DEPOSITARY SHARES
DR
DEPOSITARY RECEIPT FOR DEPOSITARY SHARES, EACH
REPRESENTING 1/40th OF ONE SHARE OF 8.00% NON-CUMULATIVE
PERPETUAL CLASS A PREFERRED STOCK, SERIES J,
OF
WELLS FARGO & COMPANY
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE
CUSIP 949746879
SEE REVERSE FOR CERTAIN DEFINITIONS
U.S. BANK NATIONAL ASSOCIATION, as Depositary (the Depositary), hereby certifies that Cede & Co. is the registered owner of DEPOSITARY SHARES (Depositary Shares), each Depositary Share representing 1/40th of one share of 8.00% Non-Cumulative Perpetual Class A Preferred Stock, Series J, liquidation preference $1,000 per share, no par value per share (the Stock), of WELLS FARGO & COMPANY, a Delaware corporation (the Corporation), on deposit with the Depositary, subject to the terms and entitled to the benefits of the Deposit Agreement dated as of December 21, 2007 (the Deposit Agreement), among the Corporation as successor to Wachovia Corporation, the Depositary and the holders from time to time of the Depositary Receipts. By accepting this Depositary Receipt, the holder hereof becomes a party to and agrees to be bound by all the terms and conditions of the Deposit Agreement. This Depositary Receipt shall not be valid or obligatory for any purpose or entitled to any benefits under the Deposit Agreement unless it shall have been executed by the Depositary by the manual signature of a duly authorized officer or, if executed in facsimile by the Depositary, countersigned by a Registrar in respect of th e Depositary Receipts by the manual signature of a duly authorized officer thereof.
This Depositary Receipt is transferable in New York, New York.
Dated:
U.S. BANK NATIONAL ASSOCIATION, as Depositary
By: _______________________________________[FORM OF REVERSE OF RECEIPT]
WELLS FARGO & COMPANY
THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH RECEIPTHOLDER WHO SO REQUESTS A COPY OF THE DEPOSIT AGREEMENT AND A COPY OR SUMMARY OF THE CERTIFICATE OF DESIGNATIONS FOR THE 8.00% NON-CUMULATIVE PERPETUAL CLASS A PREFERRED STOCK, SERIES J, OF WELLS FARGO & COMPANY. ANY SUCH REQUEST IS TO BE ADDRESSED TO THE DEPOSITARY NAMED ON THE FACE OF THIS RECEIPT.
__________________________
The Corporation will furnish without charge to each receiptholder who so requests the powers, designations, preferences and relative, participating, optional or other special rights of each class of stock or series thereof of the Corporation, and the qualifications, limitations or restrictions of such preferences and/or rights. Such request may be made to the Corporation or to the Depositary.
EXPLANATION OF ABBREVIATIONS
The following abbreviations when used in the form of ownership on the face of this certificate shall be construed as though they were written out in full according to applicable laws or regulations. Abbreviations in addition to those appearing below may be used.
Abbreviation | Equivalent Phrase | Abbreviation | Equivalent Phrase | |||
|
|
|
| |||
JT TEN | As joint tenants, with right | TEN BY ENT | As tenants by the entireties | |||
of survivorship and not as | ||||||
tenants in common | ||||||
TEN IN COM | As tenants in common | UNIF GIFT MIN ACT | Uniform Gifts to Minors | |||
Act |
Abbreviation | Equivalent Word | Abbreviation | Equivalent Word | Abbreviation | Equivalent Word | |||||
|
|
|
|
|
| |||||
ADM | Administrator(s), | EX | Executor(s), | PAR | Paragraph | |||||
Administratrix | Executrix | |||||||||
AGMT | Agreement | FBO | For the benefit of PL | Public Law | ||||||
ART | Article | FDN | Foundation | TR | (As) trustee(s), | |||||
for, of | ||||||||||
CH | Chapter | GDN | Guardian(s) | U | Under | |||||
CUST | Custodian for | GDNSHP | Guardianship | UA | Under | |||||
agreement | ||||||||||
DEC | Declaration | MIN | Minor(s) | UW | Under will of, | |||||
Of will of, | ||||||||||
Under last will | ||||||||||
& testament | ||||||||||
EST | Estate, of Estate | |||||||||
of |
For value received, _______________ hereby sell(s), assign(s) and transfer(s) unto
______________________________________________________________________________
PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE
PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF
ASSIGNEE
Depositary Shares represented by the within Receipt, and do(es) hereby irrevocably constitute and appoint ____________________Attorney to transfer the said Depositary Shares on the books of the within named Depositary with full power of substitution in the premises.
Dated: _____________
NOTICE: The signature to the assignment must correspond with the name as written upon the face of this Receipt in every particular, without alteration or enlargement or any change whatsoever. |
SIGNATURE GUARANTEED
NOTICE: The signature(s) should be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings and loan associations, and credit unions with membership in an approved signature guarantee medallion program), pursuant to Rule 17Ad-15 under the Securities Exchange Act of 1934.
Exhibit 4.3
Form of Preferred Stock Certificate | ||||
WELLS FARGO & COMPANY | ||||
Incorporated under the laws of | ||||
the State of Delaware | ||||
NUMBER | 8.00% NON-CUMULATIVE | SHARES | ||
CUSIP 949746879 | PERPETUAL CLASS A | |||
PREFERRED | ||||
STOCK, SERIES J | ||||
THIS CERTIFICATE IS | ||||
TRANSFERABLE IN | ||||
NEW YORK, NY |
This is to certify that
is the registered owner of fully paid and non-assessable shares of 8.00% Non-Cumulative Perpetual Class A Preferred Stock, Series J, no par value and a liquidation preference of $1,000 per share, of Wells Fargo & Company, a Delaware corporation (the Corporation), transferable on the books of the Corporation by the holder hereof, in person or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate is not valid unless countersigned an d registered by the Transfer Agent and Registrar.
Witness the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers.
Dated:
WELLS FARGO & COMPANY
By: ____________________________
Name:
[Seal] Title:
By: ____________________________
Name:
Title:
Countersigned and registered
Wells Fargo Bank, N.A., as Transfer Agent and Registrar
By: _____________________________
Authorized Officer
(REVERSE OF CERTIFICATE)
WELLS FARGO & COMPANY
The Corporation will furnish without charge to each stockholder who so requests the powers, designations, preferences and relative participating, optional or special rights of each class of stock or series thereof of the Corporation and the qualifications, limitations or restrictions of such preferences and/or rights. Such request should be addressed to the Corporation or the Transfer Agent.
The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations:
TEN COM as tenants in common
TEN ENT as tenants by the entireties
JT TEN as joint tenants with rights of survivorship and not as tenants in common
UNIF GIFT
MIN ACT __________________________ Custodian _______________________________
(Cust) (Minor)
under Uniform Gift to Minors Act
_________________________________________________________________________________
(State)
Additional abbreviations may also be used though not in the above list.
For Value Received, the undersigned hereby sells, assigns and transfers unto
PLEASE INSERT SOCIAL SECURITY OR
OTHER IDENTIFYING NUMBER OF ASSIGNEE
(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS,
INCLUDING ZIP CODE OF ASSIGNEE)
Shares
of the capital stock represented by the within Certificate, and do hereby irrevocably constitute and appoint _____________________ Attorney to transfer the said stock on the books of the within named Corporation with full power of substitution in the premises.
Dated: ___________
NOTICE: THE SIGNATURE TO THE ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER
Signature(s) Guaranteed:
THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO RULE 17Ad-15 UNDER THE SECURITIES EXCHANGE ACT OF 1934.
Exhibit 4.4
Wells Fargo & Company
420 Montgomery Street, 2nd Floor
San Francisco, California 94104
December 31, 2008
U.S. Bank National Association
100 Wall Street, 16th Floor
New York, NY 10005
Attention: Patrick Crowley
Ladies and Gentlemen:
We refer to the Deposit Agreement, dated as of December 21, 2007 (the Deposit Agreement), by and among Wachovia Corporation, a North Carolina corporation (Wachovia), U.S. Bank National Association, a national banking association formed under the laws of the United States (the Deposita ry), and all holders from time to time of Receipts issued thereunder. Capitalized terms used but not defined in this letter agreement shall have the meanings given to such terms in the Deposit Agreement. We also refer to the Agreement and Plan of Merger, dated as of October 3, 2008 (the Merger Agreement), as amended, by and between Wells Fargo & Company, a Delaware corporation (Wells Fargo) and Wachovia. In consideration of the covenants and agreements set forth herein and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to b e legally bound, Wells Fargo agrees as follows:
Effective immediately on the Effective Time (as defined in the Merger Agreement) and without any further action by any person, (a) Wells Fargo shall automatically assume hereby the rights, duties and obligations of Wachovia under the Deposit Agreement; and (b) Wells Fargo (as successor-in-interest to Wachovia) hereby instructs the Depositary pursuant to Section 4.6 of the Deposit Agreement to treat the 2,300,000 shares of Wells Fargo 8.00% Non-Cumulative Perpetual Class A Preferred Stock, Series J, no par value per share, $1,000 liquidation preference per share (the Series J Preferred Stock) delivered herewith to the Depositary in exchange for the Stock as new deposited property under the Deposit Agreement, and Receipts outstanding shall thereafter represent the proportionate interests of holders thereof in the Series J Preferred Stock so received in exchange for such Stock. The Depositary may in its discretion execute and deliver additional Receipts or may call for the surrender of all outstanding Receipts to be exchanged for new Receipts specifically describing such newly deposited Series J Stock. Following such exchange, references to Stock in the Deposit Agreement shall be references to the Series J Preferred Stock. Wells Fargo covenants to promptly advise the Depositary in writing of the occurrence of the Effective Time and the date thereof.
Wells Fargo hereby represents and warrants to the Depositary that the Series J Preferred Stock on the Effective Time will be duly authorized and validly issued to the Depositary and will be fully paid and non-assessable. Wells Fargo further represents and warrants that the Series J Preferred Stock will have the rights, privileges, powers and preferences substantially identical to those of the Stock as contemplated by Section 1.9 of the Merger Agreement.
Wells Fargo hereby acknowledges that the Depositarys execution and delivery of this letter shall not be deemed to constitute the Depositarys consent or approval of the Merger Agreement or the transactions contemplated thereby or the waiver of any rights it may have or may have had as a holder of the Stock or of the Series J Preferred Stock.
Please acknowledge your understanding of our agreement as set forth herein by signing this letter in the space provided below and returning a copy to the undersigned. This letter agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. This letter agreement shall be governed by, and construed in accordance with, the laws of the State of New York without giving effect to applicable conflicts of law principles.
[Signature Page Follows]
Very truly yours,
WELLS FARGO & COMPANY
By: _________________________
Name:
Title:
Accepted and agreed to as of
the date set forth above:
U.S. BANK NATIONAL ASSOCIATION
By: __________________________
Name:
Title: