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Wells Fargo & Company/MN – ‘8-K’ for 2/21/20

On:  Friday, 2/21/20, at 10:16am ET   ·   For:  2/21/20   ·   Accession #:  1387131-20-2020   ·   File #:  1-02979

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/21/20  Wells Fargo & Company/MN          8-K:9       2/21/20   13:528K                                   Quality EDGAR So… LLC/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     79K 
 2: EX-4.1      Form of Medium-Term Notes, Series A                 HTML     68K 
 3: EX-5.1      Opinion of Faegre Drinker Biddle & Reath LLP        HTML     21K 
                Regarding the Notes and the Guarantee                            
 8: R1          Cover                                               HTML     94K 
11: XML         IDEA XML File -- Filing Summary                      XML     12K 
 9: XML         XBRL Instance -- wfc-8k_022120_htm                   XML     57K 
10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      7K 
 5: EX-101.DEF  XBRL Definitions -- wfc-20200221_def                 XML     92K 
 6: EX-101.LAB  XBRL Labels -- wfc-20200221_lab                      XML    130K 
 7: EX-101.PRE  XBRL Presentations -- wfc-20200221_pre               XML     89K 
 4: EX-101.SCH  XBRL Schema -- wfc-20200221                          XSD     24K 
13: JSON        XBRL Instance as JSON Data -- MetaLinks               31±    43K 
12: ZIP         XBRL Zipped Folder -- 0001387131-20-002020-xbrl      Zip     35K

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:   C:   C:   C:   C:   C:   C:   C: 
 i 0000072971  i false  i WELLS FARGO & COMPANY/MN  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series N  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series O  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series P  i Dep Shr, 1/1000th int. per shr of 5.85% Fix-to-Float Non-Cum. Perpetual Class A Pref. Stock, Ser. Q  i Dep Shr, 1/1000th int. per shr of 6.625% Fix-to-Float Non-Cum. Perpetual Class A Pref. Stock, Ser. R  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series T  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series V  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series W  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series X  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series Y  i Dep Shares, 1/1000th int. per share of Non-Cumulative Perpetual Class A Preferred Stock, Series Z  i Guarantee 5.80% Fix-to-Float Normal Wachovia Income Trust Securities of Wachovia Capital Trust III 0000072971 2020-02-21 2020-02-21 0000072971 WFC:CommonStockParValue123Member 2020-02-21 2020-02-21 0000072971 WFC:Sec7.5NoncumulativePerpetualConvertibleClassPreferredStockSeriesLMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesNMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesOMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesPMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOf5.85FixedtofloatingRateNoncumulativePerpetualClassPreferredStockSeriesQMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOf6.625FixedtofloatingRateNoncumulativePerpetualClassPreferredStockSeriesRMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesTMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesVMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesWMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesXMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesYMember 2020-02-21 2020-02-21 0000072971 WFC:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesZMember 2020-02-21 2020-02-21 0000072971 WFC:GuaranteeOf5.80FixedtofloatingRateNormalWachoviaIncomeTrustSecuritiesOfWachoviaCapitalTrustIiiMember 2020-02-21 2020-02-21 0000072971 WFC:GuaranteeOfMediumtermNotesSeriesDueOctober302028OfWellsFargoFinanceLlcMember 2020-02-21 2020-02-21 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM  i 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (date of earliest event reported):  i February 21, 2020

 

WELLS FARGO & COMPANY

(Exact name of registrant as specified in its charter)

 

 i Delaware  i 001-2979 No.  i 41-0449260
(State or other jurisdiction (Commission File (IRS Employer
of incorporation) Number) Identification No.)

 

 i 420 Montgomery Street,  i San Francisco,  i California  i 94104

(Address of principal executive offices) (Zip Code)

 

Registrant's telephone number, including area code: 1- i 866- i 249-3302

 

 i Not applicable

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

   i ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
   i ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
   i ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
   i ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class Trading Symbol Name of Each Exchange
on Which Registered
 i Common Stock, par value $1-2/3  i WFC  i New York Stock Exchange
(NYSE)
 i 7.5% Non-Cumulative Perpetual Convertible Class A Preferred Stock, Series L  i WFC.PRL  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series N  i WFC.PRN  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series O  i WFC.PRO  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series P  i WFC.PRP  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of 5.85% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A Preferred Stock, Series Q  i WFC.PRQ  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of 6.625% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A Preferred Stock, Series R  i WFC.PRR  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series T  i WFC.PRT  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series V  i WFC.PRV  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series W  i WFC.PRW  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series X  i WFC.PRX  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series Y  i WFC.PRY  i NYSE
Depositary Shares, each representing a 1/1000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series Z  i WFC.PRZ  i NYSE
Guarantee of 5.80% Fixed-to-Floating Rate Normal Wachovia Income Trust Securities of Wachovia Capital Trust III  i WFC/TP  i NYSE
 i Guarantee of Medium-Term Notes, Series A, due October 30, 2028 of Wells Fargo Finance LLC  i WFC/28A  i NYSE

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act (17 CFR 230.405) or Rule 12b-2 of the Exchange Act (17 CFR 240.12b-2).

 

Emerging growth company  i ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 C: 
 
 
Item 9.01. Financial Statements and Exhibits

 

Exhibits are filed herewith in connection with the Registration Statement on Form S-3 (File Nos. 333-221324 and 333-221324-01) filed by Wells Fargo & Company and Wells Fargo Finance LLC with the Securities and Exchange Commission.

 

On February 21, 2020, Wells Fargo Finance LLC issued the following Medium-Term Notes, Series A: Principal at Risk Securities Linked to the S&P 500® Index due May 20, 2022 (the “Notes”). The Notes are fully and unconditionally guaranteed by Wells Fargo & Company (the “Guarantee”).

 

The purpose of this Current Report is to file with the Securities and Exchange Commission the form of Note related to such issuance and the opinion of Faegre Drinker Biddle & Reath LLP regarding the Notes and the Guarantee.

 

(d)       Exhibits

 

Exhibit No. Description Location
     
4.1

Form of Medium-Term Notes, Series A, Principal at Risk Securities Linked to the S&P 500® Index due May 20, 2022.

 

 Filed herewith
5.1

Opinion of Faegre Drinker Biddle & Reath LLP regarding the Notes and the Guarantee.

 

 Filed herewith
23.1

Consent of Faegre Drinker Biddle & Reath LLP.

 

 Included as part of Exhibit 5.1
104 The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. Filed herewith

 

 C: 
  C: 2 
 

SIGNATURE

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

  WELLS FARGO & COMPANY

 

 

 

DATED: February 21, 2020 /s/ Le Roy Davis
  Le Roy Davis
  Senior Vice President and Assistant Treasurer

 

 

 

 C: 

 C: 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
10/30/28
5/20/22
Filed on / For Period end:2/21/20424B2,  8-K,  CORRESP
 List all Filings 

10 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/21/22  Wells Fargo & Co.                 424B2                  2:1.3M                                   Donnelley … Solutions/FA
 4/20/22  Wells Fargo & Co.                 424B2                  1:1.3M                                   Donnelley … Solutions/FA
 7/21/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
 7/20/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
 1/27/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
 1/25/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
 1/21/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
 1/19/21  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
10/23/20  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
10/21/20  Wells Fargo & Co.                 424B2                  1:1.4M                                   Donnelley … Solutions/FA
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