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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STUMPF JOHN G 420 MONTGOMERY STREET SAN FRANCISCO, CA 94104 |
X | President, Chairman & CEO |
John G. Stumpf, by Anthony R. Augliera, as Attorney-in-Fact | 07/25/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each Performance Share represented a contingent right to receive one share of Wells Fargo & Company (the "Company") common stock upon vesting based on the attainment of pre-established performance goals. |
(2) | These shares represent common stock of the Company acquired upon vesting of a Performance Share award granted in June 2010 in connection with the attainment of pre-established performance goals. |
(3) | Total reflects a transfer of 8,143 shares from the reporting person's direct holdings to his trust. The transfer was not reportable under Rule 16a-13 of the Securities Exchange Act of 1934. |
(4) | Reflects share equivalent of units in Wells Fargo ESOP Fund of 401(k) Plan as of June 28, 2013, as if investable cash equivalents held by Plan were fully invested in Wells Fargo & Company common stock. |
(5) | Includes the following shares of Company common stock acquired under the Company's dividend reinvestment plan: 54.378 shares on 6/3/2013. |
(6) | Includes the following shares of Company common stock acquired under the Company's dividend reinvestment plan: 34.186 shares on 6/3/2013. |
(7) | Includes the following shares of Company common stock acquired under the Company's dividend reinvestment plan: 37.867 shares on 6/3/2013. |