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): August 31, 2017
WELLS FARGO & COMPANY
(Exact name of registrant as specified in its charter)
| Delaware | 001-2979 | No. 41-0449260 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
| 420 Montgomery Street, San Francisco, California |
94104 | |||
| (Address of principal executive offices) | (Zip Code) | |||
Registrant’s 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:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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. | Financial Statements and Exhibits |
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 August 31, 2017, Wells Fargo & Company issued the following securities: (i) Medium-Term Notes, Series K, Leveraged Index Return Notes® Linked to an International Equity Basket; (ii) Medium-Term Notes, Series K, Capped Leveraged Index Return Notes® Linked to the Russell 2000® Index; (iii) 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 August 31, 2027; (iv) Medium-Term Notes, Series P, Notes due August 31, 2032; (v) Medium-Term Notes, Series P, Notes Linked to the 10-Year Constant Maturity Swap Rate due August 31, 2029; and (vi) 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 August 31, 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.
| (d) | Exhibits |
| 4.1 | Form of Medium-Term Notes, Series K, Leveraged Index Return Notes® Linked to an International Equity Basket. |
| 4.2 | Form of Medium-Term Notes, Series K, Capped Leveraged Index Return Notes® Linked to the Russell 2000® Index. |
| 4.3 | 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 August 31, 2027. |
| 4.4 | Form of Medium-Term Notes, Series P, Notes due August 31, 2032. |
| 4.5 | Form of Medium-Term Notes, Series P, Notes Linked to the 10-Year Constant Maturity Swap Rate due August 31, 2029. |
| 4.6 | Form of Medium-Term Notes, Series K, 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 August 31, 2027. |
| 5.1 | Opinion of Faegre Baker Daniels LLP regarding the Notes. |
| 23.1 | Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1). |
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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: August 31, 2017 | /s/ Neal A. Blinde | |||||
| Neal A. Blinde | ||||||
| Executive Vice President and Treasurer | ||||||
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Index to Exhibits
| Exhibit No. | Description | Method of Filing | ||
| 4.1 | Form of Medium-Term Notes, Series K, Leveraged Index Return Notes® Linked to an International Equity Basket. | Electronic Transmission | ||
| 4.2 | Form of Medium-Term Notes, Series K, Capped Leveraged Index Return Notes® Linked to the Russell 2000® Index. | Electronic Transmission | ||
| 4.3 | 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 August 31, 2027. | Electronic Transmission | ||
| 4.4 | Form of Medium-Term Notes, Series P, Notes due August 31, 2032. | Electronic Transmission | ||
| 4.5 | Form of Medium-Term Notes, Series P, Notes Linked to the 10-Year Constant Maturity Swap Rate due August 31, 2029. | Electronic Transmission | ||
| 4.6 | Form of Medium-Term Notes, Series K, 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 August 31, 2027, | Electronic Transmission | ||
| 5.1 | Opinion of Faegre Baker Daniels LLP regarding the Notes. | Electronic Transmission | ||
| 23.1 | Consent of Faegre Baker Daniels LLP (included as part of Exhibit 5.1). | |||
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