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Wells Fargo & Company/MN – ‘8-K’ for 9/6/19

On:  Friday, 9/6/19, at 3:36pm ET   ·   For:  9/6/19   ·   Accession #:  1387131-19-6782   ·   File #:  1-02979

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

 9/06/19  Wells Fargo & Company/MN          8-K:9       9/06/19   21:1.5M                                   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     81K 
 2: EX-4.1      Form of Medium-Term Notes, Series A                 HTML     62K 
 3: EX-4.2      Form of Medium-Term Notes, Series A                 HTML     66K 
 4: EX-4.3      Form of Medium-Term Notes, Series A                 HTML     62K 
 5: EX-4.4      Form of Medium-Term Notes, Series A                 HTML     63K 
 6: EX-4.5      Form of Medium-Term Notes, Series A                 HTML     75K 
 7: EX-4.6      Form of Medium-Term Notes, Series A                 HTML     64K 
 8: EX-4.7      Form of Medium-Term Notes, Series A                 HTML     65K 
 9: EX-4.8      Form of Medium-Term Notes, Series A                 HTML     65K 
10: EX-4.9      Form of Medium-Term Notes, Series A                 HTML     69K 
11: EX-5.1      Opinion of Faegre Baker Daniels LLP Regarding the   HTML     29K 
                Notes and the Guarantee                                          
21: R1          Cover                                               HTML     94K 
18: XML         IDEA XML File -- Filing Summary                      XML     16K 
17: XML         XBRL Instance -- wfc-8k_090619_htm                   XML     56K 
16: EXCEL       IDEA Workbook of Financial Reports                  XLSX      7K 
13: EX-101.DEF  XBRL Definitions -- wfc-20190906_def                 XML     92K 
14: EX-101.LAB  XBRL Labels -- wfc-20190906_lab                      XML    130K 
15: EX-101.PRE  XBRL Presentations -- wfc-20190906_pre               XML     89K 
12: EX-101.SCH  XBRL Schema -- wfc-20190906                          XSD     25K 
20: JSON        XBRL Instance as JSON Data -- MetaLinks               31±    44K 
19: ZIP         XBRL Zipped Folder -- 0001387131-19-006782-xbrl      Zip    127K

‘8-K’   —   Current Report

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

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 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 Guarantee 5.80% Fix-to-Float Normal Wachovia Income Trust Securities of Wachovia Capital Trust III 0000072971 2019-09-06 2019-09-06 0000072971 wfc:CommonStockParValue123Member 2019-09-06 2019-09-06 0000072971 wfc:NoncumulativePerpetualConvertibleClassPreferredStockSeriesLMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesNMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesOMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesPMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOf5.85FixedtofloatingRateNoncumulativePerpetualClassPreferredStockSeriesQMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOf6.625FixedtofloatingRateNoncumulativePerpetualClassPreferredStockSeriesRMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesTMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesVMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesWMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesXMember 2019-09-06 2019-09-06 0000072971 wfc:DepositarySharesEachRepresenting11000thInterestInShareOfNoncumulativePerpetualClassPreferredStockSeriesYMember 2019-09-06 2019-09-06 0000072971 wfc:GuaranteeOf5.80FixedtofloatingRateNormalWachoviaIncomeTrustSecuritiesOfWachoviaCapitalTrustIiiMember 2019-09-06 2019-09-06 0000072971 wfc:GuaranteeOfMediumtermNotesSeriesDueOctober302028OfWellsFargoFinanceLlcMember 2019-09-06 2019-09-06 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 September 6, 2019

 

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 of incorporation) (Commission File Number) (IRS Employer 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
Guarantee of 5.80% Fixed-to-Floating Rate Normal Wachovia Income Trust Securities of Wachovia Capital Trust III    i WBTP    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.  i ☐

 

 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 September 6, 2019, Wells Fargo Finance LLC issued the following Medium-Term Notes, Series A: (i) Capped Leveraged Index Return Notes® Linked to the MSCI Emerging Markets Index; (ii) Leveraged Index Return Notes® Linked to an International Equity Index Basket; (iii) Accelerated Return Notes® Linked to the Russell 2000® Index; (iv) Capped Leveraged Index Return Notes® Linked to the Russell 2000® Index; (v) Notes with Absolute Return Buffer Linked to an International Equity Index Basket; (vi) Market-Linked Step Up Notes Linked to an International Equity Index Basket; (vii) Principal at Risk Securities Linked to the S&P 500® Index due September 6, 2022; (viii) Leveraged Index Return Notes® Linked to a Global Equity Index Basket; and (ix) Principal at Risk Securities Linked to the S&P 500® Index (collectively, 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 each issuance and the opinion of Faegre Baker Daniels LLP regarding the Notes and the Guarantee.

 

(d)       Exhibits

 

Exhibit No.   Description   Location
         
4.1  

Form of Medium-Term Notes, Series A, Notes Linked to the S&P 500® Index due September 2, 2021. 

   Filed herewith
4.2   Form of Medium-Term Notes, Series A, Leveraged Index Return Notes® Linked to an International Equity Index Basket.   Filed herewith
4.3   Form of Medium-Term Notes, Series A, Accelerated Return Notes® Linked to the Russell 2000® Index.   Filed herewith
4.4   Form of Medium-Term Notes, Series A, Capped Leveraged Index Return Notes® Linked to the Russell 2000® Index.   Filed herewith
4.5   Form of Medium-Term Notes, Series A, Notes with Absolute Return Buffer Linked to an International Equity Index Basket.   Filed herewith
4.6   Form of Medium-Term Notes, Series A, Market-Linked Step Up Notes Linked to an International Equity Index Basket.   Filed herewith
4.7   Form of Medium-Term Notes, Series A, Principal at Risk Securities Linked to the S&P 500® Index due September 6, 2022.   Filed herewith
4.8   Form of Medium-Term Notes, Series A, Leveraged Index Return Notes® Linked to a Global Equity Index Basket.   Filed herewith
4.9   Form of Medium-Term Notes, Series A, Principal at Risk Securities Linked to the S&P 500® Index.   Filed herewith
5.1   Opinion of Faegre Baker Daniels LLP regarding the Notes and the Guarantee.   Filed herewith
23.1  

Consent of Faegre Baker Daniels 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: 

 

 

 

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: September 6, 2019 /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
9/6/22
Filed on / For Period end:9/6/19424B2
 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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