Current Report Filing (8-k)
May 17 2017 - 12:52PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 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): May 17, 2017
WELLS FARGO & COMPANY
(Exact name of registrant as specified in its charter)
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Delaware
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001-2979
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No. 41-0449260
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(State or other jurisdiction
of incorporation)
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(Commission File
Number)
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(IRS Employer
Identification No.)
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420 Montgomery Street, San Francisco, California 94104
(Address of principal executive offices) (Zip Code)
Registrants telephone number, including area code: 1-866-249-3302
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:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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 ☐
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. ☐
Item 9.01.
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Financial Statements and Exhibits
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Exhibits are filed herewith in connection with the Registration Statement on Form S-3 (File No. 333-202840) filed by
Wells Fargo & Company with the Securities and Exchange Commission.
On May 17, 2017, Wells Fargo &
Company issued the following securities: (i) Medium-Term Notes, Series K, Principal at Risk Securities Linked to the Lowest Performing of the Russell 2000
®
Index and the EURO STOXX
50
®
Index due May 18, 2027; (ii) Medium-Term Notes, Series P, Notes due May 17, 2030 and (iii) Medium-Term Notes, Series P, Notes Linked to 3 Month LIBOR due
May 17, 2027 (collectively, the Notes).
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.
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4.1
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Form of Medium-Term Notes, Series K, Principal at Risk Securities Linked to the Lowest Performing of the
Russell 2000
®
Index and the EURO STOXX 50
®
Index due May 18, 2027.
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4.2
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Form of Medium-Term Notes, Series P, Notes due May 17, 2030.
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4.3
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Form of Medium-Term Notes, Series P, Notes Linked to 3 Month LIBOR due May 17, 2027.
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5.1
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Opinion of Faegre Baker Daniels LLP regarding the Notes.
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23.1
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Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1).
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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.
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WELLS FARGO & COMPANY
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DATED: May 17, 2017
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/s/ Neal A. Blinde
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Neal A. Blinde
Executive Vice President and
Treasurer
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3
Index to Exhibits
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Exhibit No.
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Description
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Method of Filing
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4.1
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Form of Medium-Term Notes, Series K, Principal at Risk Securities Linked to the Lowest Performing of the Russell 2000
®
Index and the EURO STOXX 50
®
Index due May 18, 2027.
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Electronic
Transmission
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4.2
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Form of Medium-Term Notes, Series P, Notes due May 17, 2030.
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Electronic
Transmission
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4.3
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Form of Medium-Term Notes, Series P, Notes Linked to 3 Month LIBOR due May 17, 2027.
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Electronic
Transmission
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5.1
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Opinion of Faegre Baker Daniels LLP regarding the Notes.
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Electronic
Transmission
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23.1
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Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1).
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4
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