Statement of Changes in Beneficial Ownership (4)
26 April 2023 - 9:03AM
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
*
Hranicky Kyle G |
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)
1000 LOUISIANA STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/21/2023 |
(Street)
HOUSTON, TX 77002 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 4/21/2023 | | J(1) | | 114029 | D | $0.00 | 14598 | D | |
Common Stock, $1 2/3 Par Value | 4/21/2023 | | J(1) | | 114029 | A | $0.00 | 114029 | I | Through PCK Family Holdings LP (2) |
Common Stock, $1 2/3 Par Value | 4/21/2023 | | G(3) | | 2400 | D | $0.00 | 12198 | D | |
Common Stock, $1 2/3 Par Value | 4/21/2023 | | G(3) | | 800 | A | $0.00 | 3800 | I | Through COH Trust (4) |
Common Stock, $1 2/3 Par Value | 4/21/2023 | | G(3) | | 800 | A | $0.00 | 3800 | I | Through KGH Trust (4) |
Common Stock, $1 2/3 Par Value | 4/21/2023 | | G(3) | | 800 | A | $0.00 | 3800 | I | Through PAH Trust (4) |
Common Stock, $1 2/3 Par Value | | | | | | | | 32731.58 (5) | I | Through 401(k) Plan |
Common Stock, $1 2/3 Par Value | | | | | | | | 2225 | I | Through Trust (6) |
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 |
Explanation of Responses: |
(1) | As part of his estate planning, the Reporting Person and his spouse contributed shares to a partnership for the benefit of the Reporting Person, his spouse and his descendants. The contribution of shares resulted in a decrease in the number of shares the Reporting Person beneficially owns directly and a corresponding increase in the number of shares the Reporting Person owns indirectly. |
(2) | The Reporting Person and his spouse jointly control the general partner of the limited partnership. |
(3) | These transactions involved gifts of securities by the Reporting Person to trusts for the benefit of his children. |
(4) | The Reporting Person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any. |
(5) | Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of March 31, 2023, as if investable cash equivalents held by the Plan were fully invested in Wells Fargo & Company common stock. |
(6) | Held in trust for the benefit of the Reporting Person's children. The Reporting Person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hranicky Kyle G 1000 LOUISIANA STREET HOUSTON, TX 77002 |
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| Sr. Executive Vice President |
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Signatures
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Kyle G. Hranicky, by Janet McGinness, as Attorney-in-Fact | | 4/25/2023 |
**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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