Statement of Changes in Beneficial Ownership (4)
12 April 2022 - 6:10PM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Van Beurden Saul |
2. Issuer Name and Ticker or Trading Symbol
WELLS FARGO & COMPANY/MN
[
WFC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr. Executive Vice President |
(Last)
(First)
(Middle)
30 HUDSON YARDS |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/8/2022 |
(Street)
NEW YORK, NY 10001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $1 2/3 Par Value | 4/8/2022 | | M | | 3722.3914 (1) | A | $0 | 58214.3914 | D | |
Common Stock, $1 2/3 Par Value | 4/8/2022 | | F | | 1900.3914 | D | $48.73 | 56314 | D | |
Common Stock, $1 2/3 Par Value | 4/8/2022 | | M | | 31264.8136 (1) | A | $0 | 87578.8136 | D | |
Common Stock, $1 2/3 Par Value | 4/8/2022 | | F | | 15960.8136 | D | $48.73 | 71618 | D | |
Common Stock, $1 2/3 Par Value | | | | | | | | 320 | I | By Child 1 |
Common Stock, $1 2/3 Par Value | | | | | | | | 320 | I | By Child 2 |
Common Stock, $1 2/3 Par Value | | | | | | | | 320 | I | By Child 3 |
Common Stock, $1 2/3 Par Value | | | | | | | | 364.52 (2) | I | Through 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Share Right | (3) | 4/8/2022 | | M | | | 3722.3914 | (4) | (4) | Common Stock, $1 2/3 Par Value | 3722.3914 | $0 | 0 | D | |
Restricted Share Right | (3) | 4/8/2022 | | M | | | 31264.8136 | (4) | (4) | Common Stock, $1 2/3 Par Value | 31264.8136 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Number of shares represents a Restricted Share Right ("RSR") vesting on April 8, 2022. Original grant date was April 8, 2019. This vesting represents one-third of the original amount of RSRs granted (plus dividend equivalents reinvested in additional RSRs). |
(2) | Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of March 31, 2022, as if investable cash equivalents held by the Plan were fully invested in Wells Fargo & Company (the "Company") common stock. |
(3) | Each RSR represents a contingent right to receive one share of Company common stock. |
(4) | These RSRs vest in three installments: one-third on 4/8/2020, 4/8/2021, and 4/8/2022. As a condition to receiving the grant, the reporting person agreed to hold, while employed by the Company and for one year after retirement, shares of Company common stock as required under the Company's Stock Ownership Policy. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Van Beurden Saul 30 HUDSON YARDS NEW YORK, NY 10001 |
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| Sr. Executive Vice President |
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Signatures
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Saul Van Beurden, by Robert J. Kaukol, as Attorney-in-Fact | | 4/12/2022 |
**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 control number. |
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