organization · Reporting owner
WELLS FARGO & COMPANY/MN
Disclosed activity across 49 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Agility Multi-Asset Income FundNONE · Entity 12346 | Parent of Investment Adviser | November 03, 2016 | November 03, 2016 |
| CUBIC ENERGY INCCBNR · Entity 12633 | 10% owner | February 02, 2014 | February 12, 2014 |
| Corbin Multi-Strategy Fund, LLCNONE · Entity 12347 | Parent of Investment Adviser | November 03, 2016 | November 03, 2016 |
| MANAGED DURATION INVESTMENT GRADE MUNICIPAL FUNDMZF · Entity 12091 | 10% owner | August 06, 2018 | September 05, 2018 |
| NUVEEN ARIZONA QUALITY MUNICIPAL INCOME FUNDNAZ · Entity 1379 | 10% owner | December 14, 2018 | December 18, 2018 |
| NUVEEN MASSACHUSETTS QUALITY MUNICIPAL INCOME FUNDNMT · Entity 1373 | 10% owner | March 01, 2017 | March 02, 2017 |
| NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUNDNMZ · Entity 1432 | 10% owner | April 27, 2026 | April 30, 2026 |
| Nuveen California Quality Municipal Income FundNAC · Entity 1396 | 10% owner | July 28, 2025 | July 30, 2025 |
| Nuveen Municipal Credit Income FundNZF · Entity 1428 | 10% owner | September 01, 2023 | September 13, 2023 |
| Nuveen Quality Municipal Income FundNAD · Entity 1435 | 10% owner | September 23, 2026 | September 25, 2026 |
| PIMCO CALIFORNIA MUNICIPAL INCOME FUNDPCQ · Entity 8870 | 10% owner | August 01, 2025 | August 05, 2025 |
| PIMCO Flexible Municipal Income FundPMFLX · Entity 9851 | 10% owner | January 24, 2022 | February 02, 2022 |
| PIMCO MUNICIPAL INCOME FUND IIPML · Entity 8878 | 10% owner | August 01, 2025 | August 05, 2025 |
| QUEST RESOURCE CORPQRCPE · Entity 13894 | 10% owner | April 06, 2005 | April 08, 2005 |
| ROSETTA STONE INCRST · Entity 12922 | 10% owner | March 28, 2012 | April 02, 2012 |
| Thirty Eight Hundred Fund LLC[NONE] · Entity 13451 | 10% owner | December 28, 2007 | February 27, 2008 |
| Tropicana Las Vegas Hotel & Casino, Inc.N/A · Entity 12631 | 10% owner | July 01, 2009 | April 20, 2010 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Agility Multi-Asset Income Fund
Report date November 03, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial InterestsSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
CUBIC ENERGY INC
Report date February 02, 2014 · Filed February 12, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2014-02-02 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The Series B Convertible Preferred Stock has no expiration date. F2: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. ("GST") and an indirectly held subsidiary of Wells Fargo & Company ("WFC"). GST and WFC each disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Warrant to Purchase Shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.18 · Expires 2017-12-01 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2014-02-02 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. ("GST") and an indirectly held subsidiary of Wells Fargo & Company ("WFC"). GST and WFC each disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Warrant to Purchase Shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.18 · Expires 2017-12-01 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2014-02-02 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F2: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. ("GST") and an indirectly held subsidiary of Wells Fargo & Company ("WFC"). GST and WFC each disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Warrant to Purchase Shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.18 · Expires 2017-12-01 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2014-02-02 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F2: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. ("GST") and an indirectly held subsidiary of Wells Fargo & Company ("WFC"). GST and WFC each disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series B Convertible Preferred Stock has no expiration date.
F2: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. ("GST") and an indirectly held subsidiary of Wells Fargo & Company ("WFC"). GST and WFC each disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
Corbin Multi-Strategy Fund, LLC
Report date November 03, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial OwnershipSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
MANAGED DURATION INVESTMENT GRADE MUNICIPAL FUND
Report date August 06, 2018 · Filed September 05, 2018
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-08-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-08-06 · Other · Disposed 600 · Balance 0 F1: The 600 variable rate munifund term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,035.534966667 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $35.534966667 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company. F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. Capital Strategies is an indirect wholly owned subsidiary of Wells Fargo. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 600 variable rate munifund term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,035.534966667 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $35.534966667 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company.
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. Capital Strategies is an indirect wholly owned subsidiary of Wells Fargo.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN ARIZONA QUALITY MUNICIPAL INCOME FUND
Report date December 14, 2018 · Filed December 18, 2018
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-12-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-12-14 · Other · Disposed 883 · Balance 0 F1: The disposition of shares occurred pursuant to the Exchange Agreement, dated December 14, 2018, between the Issuer and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") pursuant to which Capital Strategies exchanged 883 existing Variable Rate MuniFund Term Preferred Shares, Series 2019 ("VMTP Shares") of the Issuer for an equal number of newly issued Adjustable Rate MuniFund Term Preferred Shares, Series 2028 ("AMTP Shares") of the Issuer in a cashless exchange. F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. Capital Strategies is an indirect wholly owned subsidiary of Wells Fargo. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Adjustable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 883 |
Reported balance
After 2018-12-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-12-14 · Other · Acquired 883 · Balance 883 F1: The disposition of shares occurred pursuant to the Exchange Agreement, dated December 14, 2018, between the Issuer and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") pursuant to which Capital Strategies exchanged 883 existing Variable Rate MuniFund Term Preferred Shares, Series 2019 ("VMTP Shares") of the Issuer for an equal number of newly issued Adjustable Rate MuniFund Term Preferred Shares, Series 2028 ("AMTP Shares") of the Issuer in a cashless exchange. F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. Capital Strategies is an indirect wholly owned subsidiary of Wells Fargo. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The disposition of shares occurred pursuant to the Exchange Agreement, dated December 14, 2018, between the Issuer and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") pursuant to which Capital Strategies exchanged 883 existing Variable Rate MuniFund Term Preferred Shares, Series 2019 ("VMTP Shares") of the Issuer for an equal number of newly issued Adjustable Rate MuniFund Term Preferred Shares, Series 2028 ("AMTP Shares") of the Issuer in a cashless exchange.
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. Capital Strategies is an indirect wholly owned subsidiary of Wells Fargo.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN MASSACHUSETTS QUALITY MUNICIPAL INCOME FUND
Report date March 01, 2017 · Filed March 02, 2017
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2017-03-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-01 · Other · Disposed 740 · Balance 0 F1: The 740 variable rate demand preferred shares reported as acquired in Table I consist of 740 variable rate demand preferred shares, Series 1, ("Shares") of Nuveen Massachusetts Quality Municipal Income Fund (formerly Nuveen Massachusetts Premium Income Municipal Fund) (the "Issuer") and represent Shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Shares were acquired by Capital Strategies in exchange for Capital Strategies' 740 variable rate munifund term preferred shares, Series 2017, of the Issuer ("VMTP Shares") (the "Exchange"). No funds were exchanged by the Reporting Persons and the Issuer for the Exchange. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: The 740 VMTP Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on July 9, 2014. F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer |
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 740 |
Reported balance
After 2017-03-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-03-01 · Other · Acquired 740 · Balance 740 F1: The 740 variable rate demand preferred shares reported as acquired in Table I consist of 740 variable rate demand preferred shares, Series 1, ("Shares") of Nuveen Massachusetts Quality Municipal Income Fund (formerly Nuveen Massachusetts Premium Income Municipal Fund) (the "Issuer") and represent Shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Shares were acquired by Capital Strategies in exchange for Capital Strategies' 740 variable rate munifund term preferred shares, Series 2017, of the Issuer ("VMTP Shares") (the "Exchange"). No funds were exchanged by the Reporting Persons and the Issuer for the Exchange. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: The 740 VMTP Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on July 9, 2014. F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer |
Filing footnotes · ownership attribution and instrument terms
F1: The 740 variable rate demand preferred shares reported as acquired in Table I consist of 740 variable rate demand preferred shares, Series 1, ("Shares") of Nuveen Massachusetts Quality Municipal Income Fund (formerly Nuveen Massachusetts Premium Income Municipal Fund) (the "Issuer") and represent Shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Shares were acquired by Capital Strategies in exchange for Capital Strategies' 740 variable rate munifund term preferred shares, Series 2017, of the Issuer ("VMTP Shares") (the "Exchange"). No funds were exchanged by the Reporting Persons and the Issuer for the Exchange. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: The 740 VMTP Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on July 9, 2014.
F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer
NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND
Report date April 27, 2026 · Filed April 30, 2026
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 4,504 |
Reported balance
After 2026-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-04-27 · Other · Acquired 4,504 · Balance 4,504 F1: In connection with the reorganization of Nuveen Pennsylvania Quality Municipal Income Fund and Nuveen New Jersey Quality Municipal Income Fund (the "Target Funds") into the Issuer, 4,504 variable rate demand preferred shares (the "VRDP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of the Issuer in a cashless transaction. The 4,504 VRDP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F2: 1,700 Adjustable Rate MuniFund Term Preferred Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on April 12, 2023. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of Nuveen Pennsylvania Quality Municipal Income Fund and Nuveen New Jersey Quality Municipal Income Fund (the "Target Funds") into the Issuer, 4,504 variable rate demand preferred shares (the "VRDP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of the Issuer in a cashless transaction. The 4,504 VRDP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: 1,700 Adjustable Rate MuniFund Term Preferred Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on April 12, 2023.
F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Nuveen California Quality Municipal Income Fund
Report date July 28, 2025 · Filed July 30, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| MuniFund Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 2,570 |
Reported balance
After 2025-07-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-07-28 · Other · Disposed 180 · Balance 2,570 F1: The 180 munifund preferred shares reported as disposed of in Table I represent munifund preferred shares of the Issuer (the "MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,302.2657 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $302.2657 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 1,600 |
Reported balance
Holding disclosure · report date 2025-07-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,600 F2: The 1,600 VRDP Shares were previously acquired by Capital Strategies as reported in the Form 4 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on November 17, 2017. F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 180 munifund preferred shares reported as disposed of in Table I represent munifund preferred shares of the Issuer (the "MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,302.2657 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $302.2657 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: The 1,600 VRDP Shares were previously acquired by Capital Strategies as reported in the Form 4 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on November 17, 2017.
F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Nuveen Municipal Credit Income Fund
Report date September 01, 2023 · Filed September 13, 2023
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series C MuniFund Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 3,360 |
Reported balance
After 2023-09-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-09-01 · Other · Acquired 3,360 · Balance 3,360 F1: The 3,360 munifund preferred shares reported as acquired in Table I represent munifund preferred shares, series C (the "MFP Shares") beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") that were purchased in a sale coordinated by Issuer at a price of $100,000 per share. Prior to this filing, Capital Strategies held 2,688 variable rate demand preferred shares, series 1, issued by the Issuer. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Series 1 Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 2,688 |
Reported balance
Holding disclosure · report date 2023-09-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,688 F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 3,360 munifund preferred shares reported as acquired in Table I represent munifund preferred shares, series C (the "MFP Shares") beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") that were purchased in a sale coordinated by Issuer at a price of $100,000 per share. Prior to this filing, Capital Strategies held 2,688 variable rate demand preferred shares, series 1, issued by the Issuer. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Nuveen Quality Municipal Income Fund
Report date September 23, 2026 · Filed September 25, 2026
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| MuniFund Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 1,738 |
Reported balance
After 2026-09-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-09-23 · Other · Disposed 500 · Balance 1,738 F1: The 500 munifund preferred shares reported as disposed of in Table I represent munifund preferred shares of the Issuer (the "MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,218.68 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $218.677 per share). F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its wholly owned subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 500 munifund preferred shares reported as disposed of in Table I represent munifund preferred shares of the Issuer (the "MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,218.68 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $218.677 per share).
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its wholly owned subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO CALIFORNIA MUNICIPAL INCOME FUND
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 499 |
Reported balance
Holding disclosure · report date 2025-08-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 499 F1: In connection with the reorganization of PIMCO California Municipal Income Fund II and PIMCO California Municipal Income Fund III (the "Target Funds") into the Issuer, 397 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of the Issuer in a cashless transaction. The 397 RVMTP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: The 102 RVMTP Shares were previously acquired by Capital Strategies as reported in the Form 4 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on September 20, 2018. F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the Shares listed in Table I by virtue of its indirect ownership of its subsidiary, Capital Strategies. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of PIMCO California Municipal Income Fund II and PIMCO California Municipal Income Fund III (the "Target Funds") into the Issuer, 397 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of the Issuer in a cashless transaction. The 397 RVMTP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: The 102 RVMTP Shares were previously acquired by Capital Strategies as reported in the Form 4 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on September 20, 2018.
F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the Shares listed in Table I by virtue of its indirect ownership of its subsidiary, Capital Strategies.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO Flexible Municipal Income Fund
Report date January 24, 2022 · Filed February 02, 2022
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 1,000 |
Reported balance
Holding disclosure · report date 2022-01-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,000 F1: The Remarketable Variable Rate MuniFund Term Preferred Shares, Series 2052-A ("Shares") reported in Table I represent Shares of which 1,000 Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the Shares listed in Table I by virtue of its indirect ownership of its subsidiary, Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The Remarketable Variable Rate MuniFund Term Preferred Shares, Series 2052-A ("Shares") reported in Table I represent Shares of which 1,000 Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the Shares listed in Table I by virtue of its indirect ownership of its subsidiary, Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO MUNICIPAL INCOME FUND II
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 998 |
Reported balance
After 2025-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-01 · Other · Acquired 443 · Balance 998 F1: In connection with the reorganization of PIMCO Municipal Income Fund III and PIMCO Municipal Income Fund (the "Target Funds") into the Issuer, 443 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of the Issuer in a cashless transaction. The 443 RVMTP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F2: The 555 RVMTP Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on September 20, 2023. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of PIMCO Municipal Income Fund III and PIMCO Municipal Income Fund (the "Target Funds") into the Issuer, 443 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Target Funds beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of the Issuer in a cashless transaction. The 443 RVMTP shares reported as acquired in Table I represent shares beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: The 555 RVMTP Shares were previously acquired by Capital Strategies as reported in the Form 3 filing filed by Wells Fargo and Capital Strategies with the United States Securities and Exchange Commission on September 20, 2023.
F3: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
QUEST RESOURCE CORP
Report date April 06, 2005 · Filed April 08, 2005
Jointly reported with WELLS FARGO ENERGY CAPITAL INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,599,600 |
Reported balance
After 2005-04-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-04-06 · Other · Acquired 1,599,600 · Balance 1,599,600 F1: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F2: Wells Fargo Energy Capital, Inc. ("WFECI") is an indirectly, wholly-owned subsidiary of the reporting person and a joint filer to this Form 4. WFECI was granted the warrant in conjunction with a subordinated debt facility for the Issuer. |
| Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2007-11-07 | IndirectSee footnote | 0 |
Reported balance
After 2005-04-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2005-04-06 · Other · Disposed 1,600,000 · Balance 0 F1: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F2: Wells Fargo Energy Capital, Inc. ("WFECI") is an indirectly, wholly-owned subsidiary of the reporting person and a joint filer to this Form 4. WFECI was granted the warrant in conjunction with a subordinated debt facility for the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock .
F2: Wells Fargo Energy Capital, Inc. ("WFECI") is an indirectly, wholly-owned subsidiary of the reporting person and a joint filer to this Form 4. WFECI was granted the warrant in conjunction with a subordinated debt facility for the Issuer.
ROSETTA STONE INC
Report date March 28, 2012 · Filed April 02, 2012
Jointly reported with Norwest Venture Capital Management, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Limited Partnership | 3,334,002 |
Reported balance
Holding disclosure · report date 2012-03-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,334,002 F1: Shares are held by Norwest Equity Partners VIII, LP ("NEP VIII"). Ownership of such shares was reported by NEP VIII on a Form 4 filed on April 23, 2009. This Form 3 is being filed due to a change in the organizational structure of NEP VIII that resulted in changes to the persons and entities that could be deemed beneficial owners of the shares. Norwest Venture Capital Management, Inc. ("NVCMI") is the managing member of the general partner of NEP VIII and may be deemed to share voting or dispositive power over such shares. NVCMI is a wholly owned subsidiary of Wells Fargo & Company ("WFC"). As such, WFC may be deemed to be a beneficial owner of such shares. NVCMI and WFC disclaim beneficial ownership of such shares except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Norwest Equity Partners VIII, LP ("NEP VIII"). Ownership of such shares was reported by NEP VIII on a Form 4 filed on April 23, 2009. This Form 3 is being filed due to a change in the organizational structure of NEP VIII that resulted in changes to the persons and entities that could be deemed beneficial owners of the shares. Norwest Venture Capital Management, Inc. ("NVCMI") is the managing member of the general partner of NEP VIII and may be deemed to share voting or dispositive power over such shares. NVCMI is a wholly owned subsidiary of Wells Fargo & Company ("WFC"). As such, WFC may be deemed to be a beneficial owner of such shares. NVCMI and WFC disclaim beneficial ownership of such shares except to the extent of any pecuniary interest therein.
Thirty Eight Hundred Fund LLC
Report date December 28, 2007 · Filed February 27, 2008
Jointly reported with WFC HOLDINGS CORP, WELLS FARGO BANK N A, Bitterroot Asset Management, Inc., Violet Asset Management, Inc., Pelican Asset Management, Inc., Iris Asset Management, Inc., IntraWest Asset Management, Inc., Thirty-Eight Hundred Investments LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Limited Liability Company InterestsSEC Table I · non-derivative | IndirectSee Footnote 1 | 5 |
Reported balance
Holding disclosure · report date 2007-12-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5 F1: The securities are owned directly by Thirty-Eight Hundred Investments Limited, which is a wholly owned subsidiary of Bitterroot Asset Management, Inc., which is a wholly owned subsidiary of IntraWest Asset Management, Inc., which is a wholly owned subsidiary of Violet Asset Management, Inc., which is a wholly owned subsidiary of Pelican Asset Management, Inc., which is a wholly owned subsidiary of Iris Asset Management, Inc., which is a wholly owned subsidiary of Wells Fargo Bank, National Association, which is a wholly owned subsidiary of WFC Holdings Corporation, which is a wholly owned subsidiary of Wells Fargo & Company. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are owned directly by Thirty-Eight Hundred Investments Limited, which is a wholly owned subsidiary of Bitterroot Asset Management, Inc., which is a wholly owned subsidiary of IntraWest Asset Management, Inc., which is a wholly owned subsidiary of Violet Asset Management, Inc., which is a wholly owned subsidiary of Pelican Asset Management, Inc., which is a wholly owned subsidiary of Iris Asset Management, Inc., which is a wholly owned subsidiary of Wells Fargo Bank, National Association, which is a wholly owned subsidiary of WFC Holdings Corporation, which is a wholly owned subsidiary of Wells Fargo & Company.
Tropicana Las Vegas Hotel & Casino, Inc.
Report date July 01, 2009 · Filed April 20, 2010
Jointly reported with FOOTHILL GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy The Foothill Group, Inc. | 502,800 |
Reported balance
Holding disclosure · report date 2009-07-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 502,800 F1: The shares of Class A Common Stock and Class A Convertible Participating Preferred Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by The Foothill Group, Inc. ("Foothill"), a wholly-owned subsidiary of Wells Fargo & Company. Once issued by the Company, the shares of Class A Series 2 Convertible Participating Preferred Stock will be owned directly by Foothill. |
| Class A Convertible Participating Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $25.00 | IndirectBy The Foothill Group, Inc. | Not disclosed |
Reported balance
Holding disclosure · report date 2009-07-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: The initial conversion price per share is $25.00. The number of shares of Class A Common Stock to be issued upon conversion of a share of Class A Convertible Participating Preferred Stock or Class A Series 2 Convertible Participating Preferred Stock can be determined by dividing: (i) the sum of (a) the $100 per share original purchase price of such preferred stock plus (b) the amount of cumulated and unpaid dividends for any prior dividend periods payable with respect to such preferred stock, by (ii) the conversion price at the time of the conversion. F2: No expiration date. F1: The shares of Class A Common Stock and Class A Convertible Participating Preferred Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by The Foothill Group, Inc. ("Foothill"), a wholly-owned subsidiary of Wells Fargo & Company. Once issued by the Company, the shares of Class A Series 2 Convertible Participating Preferred Stock will be owned directly by Foothill. |
| Class A Series 2 Convertible Participating Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $25.00 | IndirectBy The Foothill Group, Inc. | Not disclosed |
Reported balance
Holding disclosure · report date 2009-07-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F3: The initial conversion price per share is $25.00. The number of shares of Class A Common Stock to be issued upon conversion of a share of Class A Convertible Participating Preferred Stock or Class A Series 2 Convertible Participating Preferred Stock can be determined by dividing: (i) the sum of (a) the $100 per share original purchase price of such preferred stock plus (b) the amount of cumulated and unpaid dividends for any prior dividend periods payable with respect to such preferred stock, by (ii) the conversion price at the time of the conversion. F2: No expiration date. F1: The shares of Class A Common Stock and Class A Convertible Participating Preferred Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by The Foothill Group, Inc. ("Foothill"), a wholly-owned subsidiary of Wells Fargo & Company. Once issued by the Company, the shares of Class A Series 2 Convertible Participating Preferred Stock will be owned directly by Foothill. F4: The shares of Class A Series 2 Convertible Participating Preferred Stock of the Company will be issued to Foothill on or about the filing date of this Form 3 as consideration for a credit facility between the Company and Foothill. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class A Common Stock and Class A Convertible Participating Preferred Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by The Foothill Group, Inc. ("Foothill"), a wholly-owned subsidiary of Wells Fargo & Company. Once issued by the Company, the shares of Class A Series 2 Convertible Participating Preferred Stock will be owned directly by Foothill.
F2: No expiration date.
F3: The initial conversion price per share is $25.00. The number of shares of Class A Common Stock to be issued upon conversion of a share of Class A Convertible Participating Preferred Stock or Class A Series 2 Convertible Participating Preferred Stock can be determined by dividing: (i) the sum of (a) the $100 per share original purchase price of such preferred stock plus (b) the amount of cumulated and unpaid dividends for any prior dividend periods payable with respect to such preferred stock, by (ii) the conversion price at the time of the conversion.
F4: The shares of Class A Series 2 Convertible Participating Preferred Stock of the Company will be issued to Foothill on or about the filing date of this Form 3 as consideration for a credit facility between the Company and Foothill.
Past disclosures · reporting ended (32)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND
Report date October 27, 2025 · Filed October 29, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2025-10-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 2018 Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2025-10-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-10-27 · Other · Disposed 3,531 · Balance 0 F1: The 3,531 preferred shares reported as disposed of in Table I represent 2018 Variable Rate MuniFund Term Preferred Shares (the "Preferred Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Preferred Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $25,068.69428 per share (which includes a liquidation preference of $25,000.00 per share and accrued dividends of $68.69428 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 3,531 preferred shares reported as disposed of in Table I represent 2018 Variable Rate MuniFund Term Preferred Shares (the "Preferred Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Preferred Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $25,068.69428 per share (which includes a liquidation preference of $25,000.00 per share and accrued dividends of $68.69428 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST
Report date September 27, 2024 · Filed October 01, 2024
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2024-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2024-09-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-09-27 · Other · Disposed 1,713 · Balance 0 F1: The 1,713 variable rate muni term preferred shares reported as disposed of in Table I represent variable rate muni term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,303.25137 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $303.25137 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,713 variable rate muni term preferred shares reported as disposed of in Table I represent variable rate muni term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,303.25137 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $303.25137 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MASSACHUSETTS TAX-EXEMPT TRUST
Report date April 19, 2021 · Filed April 22, 2021
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2021-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2021-04-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-19 · Other · Disposed 185 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 185 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 185 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 185 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 185 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIENHANCED FUND, INC.
Report date April 19, 2021 · Filed April 22, 2021
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2021-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2021-04-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-19 · Other · Disposed 1,425 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 1,425 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 1,425 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 1,425 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 1,425 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIHOLDINGS CALIFORNIA QUALITY FUND, INC.
Report date September 27, 2024 · Filed October 01, 2024
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2024-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2024-09-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-09-27 · Other · Disposed 5,264 · Balance 0 F1: The 5,264 variable rate muni term preferred shares reported as disposed of in Table I represent variable rate muni term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,303.25137 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $303.25137 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 5,264 variable rate muni term preferred shares reported as disposed of in Table I represent variable rate muni term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,303.25137 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $303.25137 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIYIELD ARIZONA FUND, INC.
Report date April 19, 2021 · Filed April 22, 2021
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2021-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2021-04-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-19 · Other · Disposed 373 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 373 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 373 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 373 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MQY in a cashless transaction. The 373 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIYIELD CALIFORNIA FUND, INC.
Report date April 11, 2022 · Filed April 13, 2022
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2022-04-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2022-04-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-04-11 · Other · Disposed 1,059 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings California Quality Fund, Inc. ("MUC"), 1,059 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MUC in a cashless transaction. The 1,059 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings California Quality Fund, Inc. ("MUC"), 1,059 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MUC in a cashless transaction. The 1,059 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC.
Report date April 11, 2022 · Filed April 13, 2022
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2022-04-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2022-04-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-04-11 · Other · Disposed 1,665 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings California Quality Fund, Inc. ("MUC"), 1,665 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MUC in a cashless transaction. The 1,665 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings California Quality Fund, Inc. ("MUC"), 1,665 Series W-7 Variable Rate Demand Preferred Shares ("VRDP Shares") of the Issuer beneficially owned by Wells Fargo Bank, N.A. ("WFBNA") were exchanged for an equal number of VRDP Shares of MUC in a cashless transaction. The 1,665 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIYIELD NEW JERSEY FUND, INC.
Report date April 11, 2022 · Filed April 13, 2022
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2022-04-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2022-04-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-04-11 · Other · Disposed 1,800 · Balance 0 F1: The 1,800 variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by Wells Fargo Bank, National Association. The VMTP Shares were disposed of as a result of a sale of such shares by Wells Fargo Bank, National Associtaion in an open market transaction for a sales price of $100,000 per share. The 1,800 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,800 variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by Wells Fargo Bank, National Association. The VMTP Shares were disposed of as a result of a sale of such shares by Wells Fargo Bank, National Associtaion in an open market transaction for a sales price of $100,000 per share. The 1,800 shares reported as disposed of in Table I represent shares that were beneficially owned by WFBNA. WFBNA is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BLACKROCK MUNIYIELD QUALITY FUND, INC.
Report date June 05, 2024 · Filed June 07, 2024
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2024-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2024-06-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-06-05 · Other · Disposed 4,503 · Balance 0 F1: The 4,503 variable rate demand preferred shares reported as disposed of in Table I (the "VRDP Shares") represent shares that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The 2,252 VRDP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,038.6623 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $38.6623 per share). The 2,251 VRDP Shares were disposed of as a result of a sale of the VRDP Shares in an open market transaction for a price of $100,038.6623 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $38.6623 per share). F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 4,503 variable rate demand preferred shares reported as disposed of in Table I (the "VRDP Shares") represent shares that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The 2,252 VRDP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,038.6623 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $38.6623 per share). The 2,251 VRDP Shares were disposed of as a result of a sale of the VRDP Shares in an open market transaction for a price of $100,038.6623 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $38.6623 per share).
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
BlackRock Municipal 2030 Target Term Trust
Report date August 02, 2024 · Filed August 06, 2024
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2024-08-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2024-08-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-08-02 · Other · Disposed 150 · Balance 0 F1: The 150 remarketable variable rate muni term preferred shares reported as disposed of in Table I represent remarketable variable rate muni term preferred shares of the Issuer (the "RVMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The RVMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $5,000,622.0765 per share (which includes a liquidation preference of $5,000,000.00 per share and accrued dividends of $622.0765 per share). F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its wholly owned subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 150 remarketable variable rate muni term preferred shares reported as disposed of in Table I represent remarketable variable rate muni term preferred shares of the Issuer (the "RVMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The RVMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $5,000,622.0765 per share (which includes a liquidation preference of $5,000,000.00 per share and accrued dividends of $622.0765 per share).
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its wholly owned subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
DELAWARE INVESTMENTS MINNESOTA MUNICIPAL INCOME FUND II, INC
Report date April 30, 2019 · Filed May 07, 2019
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2019-05-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred Shares Series 2021SEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2019-04-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-04-30 · Other · Disposed 750 · Balance 0 F1: The 750 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,248.00 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $248.00 per share). F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the VMTP Shares listed in Table I by virtue of its indirect ownership of its subsidiary, WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 750 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,248.00 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $248.00 per share).
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the VMTP Shares listed in Table I by virtue of its indirect ownership of its subsidiary, WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
DTF TAX-FREE INCOME 2028 TERM FUND INC
Report date November 12, 2020 · Filed November 16, 2020
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2020-11-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2020-11-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-11-12 · Other · Disposed 650 · Balance 0 F1: The 650 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,045.4918 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $45.4918 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 650 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,045.4918 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $45.4918 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Delaware Investments Colorado Municipal Income Fund, Inc.
Report date April 30, 2019 · Filed May 07, 2019
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2019-05-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred Shares Series 2021SEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2019-04-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-04-30 · Other · Disposed 300 · Balance 0 F1: The 300 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,248.00 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $248.00 per share). F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the VMTP Shares listed in Table I by virtue of its indirect ownership of its subsidiary, WFBNA. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 300 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,248.00 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $248.00 per share).
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the VMTP Shares listed in Table I by virtue of its indirect ownership of its subsidiary, WFBNA.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
MPG Office Trust, Inc.
Report date August 24, 2012 · Filed August 28, 2012
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2012-08-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee below | 78,405 |
Reported balance
After 2012-08-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-08-24 · Sale · Disposed 101,995 · Balance 78,405 F1: The price reported in Column 4 is the weighted average sales price from multiple sales on the Transaction Date, at prices ranging from $3.31 to $3.4912, inclusive. Either Reporting Person will, upon the request of MPG Office Trust, Inc., any security holder of MPG Office Trust, Inc., or the staff of the Securities and Exchange Commission, provide the requesting party full information regarding the number of shares sold at each separate price within the range reported in this and any other footnote to Column 4. F2: The 5,594,220 shares are directly beneficially owned by Wells Fargo Bank, N.A. ("WFB"). All other reported shares are indirectly beneficially owned by WFB and are owned directly by a borrower and pledged to WFB as collateral for a loan. The reported transactions involved sales of the shares by the borrower, and payment of sale proceeds to WFB. WFB is an indirect wholly-owned subsidiary of Wells Fargo & Company ('WFC"), and WFC is therefore an indirect beneficial owner of all of the shares reported herein. |
| Common StockSEC Table I · non-derivative | Direct | 5,594,220 |
Reported balance
Holding disclosure · report date 2012-08-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,594,220 F2: The 5,594,220 shares are directly beneficially owned by Wells Fargo Bank, N.A. ("WFB"). All other reported shares are indirectly beneficially owned by WFB and are owned directly by a borrower and pledged to WFB as collateral for a loan. The reported transactions involved sales of the shares by the borrower, and payment of sale proceeds to WFB. WFB is an indirect wholly-owned subsidiary of Wells Fargo & Company ('WFC"), and WFC is therefore an indirect beneficial owner of all of the shares reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is the weighted average sales price from multiple sales on the Transaction Date, at prices ranging from $3.31 to $3.4912, inclusive. Either Reporting Person will, upon the request of MPG Office Trust, Inc., any security holder of MPG Office Trust, Inc., or the staff of the Securities and Exchange Commission, provide the requesting party full information regarding the number of shares sold at each separate price within the range reported in this and any other footnote to Column 4.
F2: The 5,594,220 shares are directly beneficially owned by Wells Fargo Bank, N.A. ("WFB"). All other reported shares are indirectly beneficially owned by WFB and are owned directly by a borrower and pledged to WFB as collateral for a loan. The reported transactions involved sales of the shares by the borrower, and payment of sale proceeds to WFB. WFB is an indirect wholly-owned subsidiary of Wells Fargo & Company ('WFC"), and WFC is therefore an indirect beneficial owner of all of the shares reported herein.
NUVEEN CONNECTICUT QUALITY MUNICIPAL INCOME FUND
Report date November 18, 2019 · Filed November 20, 2019
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2019-11-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Adjustable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2019-11-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-18 · Other · Disposed 1,120 · Balance 0 F1: In connection with the reorganization of Nuveen Connecticut Quality Municipal Income Fund into Nuveen AMT-Free Municipal Credit Income Fund ("NVG"), 1,120 adjustable rate munifund term preferred shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares, Series 2028, of NVG in a cashless transaction. The 1,120 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. F2: This statement is jointly filed by Wells Fargo & Company and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). Wells Fargo & Company held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of Nuveen Connecticut Quality Municipal Income Fund into Nuveen AMT-Free Municipal Credit Income Fund ("NVG"), 1,120 adjustable rate munifund term preferred shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares, Series 2028, of NVG in a cashless transaction. The 1,120 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies.
F2: This statement is jointly filed by Wells Fargo & Company and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). Wells Fargo & Company held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN GEORGIA QUALITY MUNICIPAL INCOME FUND
Report date March 29, 2023 · Filed March 31, 2023
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2023-03-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Adjustable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2023-03-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-03-29 · Other · Disposed 585 · Balance 0 F1: The 585 preferred shares reported as disposed of in Table I represent adjustable rate munifund term preferred shares (the "AMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The AMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,290.49315 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $290.49315 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 585 preferred shares reported as disposed of in Table I represent adjustable rate munifund term preferred shares (the "AMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The AMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $100,290.49315 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $290.49315 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN MICHIGAN QUALITY MUNICIPAL INCOME FUND
Report date February 08, 2021 · Filed February 10, 2021
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC, WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2021-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Adjustable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2021-02-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-02-08 · Other · Disposed 1,730 · Balance 0 F1: In connection with the reorganization of Nuveen Michigan Quality Municipal Income Fund into Nuveen AMT-Free Quality Municipal Income Fund ("NEA"), 1,730 adjustable rate munifund term preferred shares, Series 2028, of the Issuer beneficially owned by Wells Fargo Bank, National Association ("WFBNA") and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares, Series 2028-1, of NEA in a cashless transaction. The 1,730 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies and WFBNA. F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo"), Capital Strategies and WFBNA. Wells Fargo held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries, Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of Nuveen Michigan Quality Municipal Income Fund into Nuveen AMT-Free Quality Municipal Income Fund ("NEA"), 1,730 adjustable rate munifund term preferred shares, Series 2028, of the Issuer beneficially owned by Wells Fargo Bank, National Association ("WFBNA") and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares, Series 2028-1, of NEA in a cashless transaction. The 1,730 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies and WFBNA.
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo"), Capital Strategies and WFBNA. Wells Fargo held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries, Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN NEW JERSEY QUALITY MUNICIPAL INCOME FUND
Report date April 27, 2026 · Filed April 29, 2026
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2026-04-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2026-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-04-27 · Other · Disposed 2,329 · Balance 0 F1: In connection with the reorganization of the Issuer into NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND ("NMZ"), 2,329 variable rate demand preferred shares (the "VRDP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of NMZ in a cashless transaction. The 2,329 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND ("NMZ"), 2,329 variable rate demand preferred shares (the "VRDP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of NMZ in a cashless transaction. The 2,329 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NUVEEN PENNSYLVANIA QUALITY MUNICIPAL INCOME FUND
Report date April 27, 2026 · Filed April 29, 2026
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2026-04-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2026-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-04-27 · Other · Disposed 2,175 · Balance 0 F1: In connection with the reorganization of the Issuer into NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND ("NMZ"), 2,175 variable rate demand preferred shares (the "VRDP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of NMZ in a cashless transaction. The 2,175 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND ("NMZ"), 2,175 variable rate demand preferred shares (the "VRDP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of VRDP Shares of NMZ in a cashless transaction. The 2,175 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
NVE CORP /NEW/
Report date October 28, 2003 · Filed October 29, 2003
Section 16 reporting ended · disclosed 2003-10-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 394,790 |
Ending reported balance
After 2003-10-28 transaction · row 16
16 source rows · reconciled sequenceRow 1 · 2003-10-28 · Sale · Disposed 7,000 · Balance 447,790 Row 2 · 2003-10-28 · Sale · Disposed 2,000 · Balance 445,790 Row 3 · 2003-10-28 · Sale · Disposed 3,300 · Balance 442,490 Row 4 · 2003-10-28 · Sale · Disposed 5,700 · Balance 436,790 Row 5 · 2003-10-28 · Sale · Disposed 2,000 · Balance 434,790 Row 6 · 2003-10-28 · Sale · Disposed 5,000 · Balance 429,790 Row 7 · 2003-10-28 · Sale · Disposed 1,200 · Balance 428,590 Row 8 · 2003-10-28 · Sale · Disposed 3,800 · Balance 424,790 Row 9 · 2003-10-28 · Sale · Disposed 3,000 · Balance 421,790 Row 10 · 2003-10-28 · Sale · Disposed 2,000 · Balance 419,790 Row 11 · 2003-10-28 · Sale · Disposed 5,000 · Balance 414,790 Row 12 · 2003-10-28 · Sale · Disposed 5,000 · Balance 409,790 Row 13 · 2003-10-28 · Sale · Disposed 6,000 · Balance 403,790 Row 14 · 2003-10-28 · Sale · Disposed 5,000 · Balance 398,790 Row 15 · 2003-10-28 · Sale · Disposed 3,000 · Balance 395,790 Row 16 · 2003-10-28 · Sale · Disposed 1,000 · Balance 394,790 |
Nuveen AMT-Free Municipal Credit Income Fund
Report date November 18, 2019 · Filed November 20, 2019
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC, WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2019-11-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Adjustable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 1,120 |
Reported balance
After 2019-11-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-18 · Other · Acquired 1,120 · Balance 1,120 F1: In connection with the reorganization of Nuveen Connecticut Quality Municipal Income Fund into Nuveen AMT-Free Municipal Credit Income Fund (the "Issuer"), 1,120 adjustable rate munifund term preferred shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares ("AMTP Shares"), Series 2028, of the Issuer in a cashless transaction. The 1,120 AMTP Shares reported as acquired in Table I represent AMTP Shares beneficially owned by Capital Strategies. F3: This statement is jointly filed by Wells Fargo, Capital Strategies and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo. Following additional issuances of securities by the Issuer, none of Wells Fargo, WFBNA, or WFMCS currently hold more than 10% of the class of securities of the Issuer. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| MuniFund Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 2,054 |
Reported balance
Holding disclosure · report date 2019-11-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,054 F2: In addition to the 1,120 AMTP Shares owned by Capital Strategies, Wells Fargo Bank, National Association ("WFBNA") holds 2,054 munifund preferred shares ("MFP Shares") of the Issuer. The 2,054 MFP Shares were previously acquired by WFBNA as reported in the Form 4 filings filed by Wells Fargo & Company ("Wells Fargo") and WFBNA with the United States Securities and Exchange Commission filed January 31, 2019 and April 5, 2019. F3: This statement is jointly filed by Wells Fargo, Capital Strategies and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo. Following additional issuances of securities by the Issuer, none of Wells Fargo, WFBNA, or WFMCS currently hold more than 10% of the class of securities of the Issuer. F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of Nuveen Connecticut Quality Municipal Income Fund into Nuveen AMT-Free Municipal Credit Income Fund (the "Issuer"), 1,120 adjustable rate munifund term preferred shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of adjustable rate munifund term preferred shares ("AMTP Shares"), Series 2028, of the Issuer in a cashless transaction. The 1,120 AMTP Shares reported as acquired in Table I represent AMTP Shares beneficially owned by Capital Strategies.
F2: In addition to the 1,120 AMTP Shares owned by Capital Strategies, Wells Fargo Bank, National Association ("WFBNA") holds 2,054 munifund preferred shares ("MFP Shares") of the Issuer. The 2,054 MFP Shares were previously acquired by WFBNA as reported in the Form 4 filings filed by Wells Fargo & Company ("Wells Fargo") and WFBNA with the United States Securities and Exchange Commission filed January 31, 2019 and April 5, 2019.
F3: This statement is jointly filed by Wells Fargo, Capital Strategies and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo. Following additional issuances of securities by the Issuer, none of Wells Fargo, WFBNA, or WFMCS currently hold more than 10% of the class of securities of the Issuer.
F4: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Nuveen AMT-Free Quality Municipal Income Fund
Report date September 30, 2020 · Filed October 02, 2020
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC, WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2020-10-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| MuniFund Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 3,350 |
Reported balance
After 2020-09-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-09-30 · Other · Disposed 2,380 · Balance 3,350 F1: The 2,380 preferred shares reported as disposed of in Table I represent MuniFund Preferred Shares, Series C ("MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a sale of the MFP Shares in an open market transaction for a price of $238,000,000. Wells Fargo Bank, National Association ("WFBNA") continues to own 3,350 MuniFund Preferred Shares, Series B of the Issuer. F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo"), Capital Strategies and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 2,380 preferred shares reported as disposed of in Table I represent MuniFund Preferred Shares, Series C ("MFP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The MFP Shares were disposed of as a result of a sale of the MFP Shares in an open market transaction for a price of $238,000,000. Wells Fargo Bank, National Association ("WFBNA") continues to own 3,350 MuniFund Preferred Shares, Series B of the Issuer.
F2: This statement is jointly filed by Wells Fargo & Company ("Wells Fargo"), Capital Strategies and WFBNA. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and WFBNA. Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO CALIFORNIA MUNICIPAL INCOME FUND II
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2025-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2025-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-01 · Other · Disposed 292 · Balance 0 F1: In connection with the reorganization of the Issuer into PIMCO California Municipal Income Fund ("PCQ"), 292 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PCQ in a cashless transaction. The 292 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into PIMCO California Municipal Income Fund ("PCQ"), 292 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PCQ in a cashless transaction. The 292 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO CALIFORNIA MUNICIPAL INCOME FUND III
Report date September 18, 2018 · Filed September 20, 2018
Jointly reported with WFC HOLDINGS CORP
Section 16 reporting ended · disclosed 2018-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction-Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-09-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-09-18 · Other · Disposed 501 · Balance 0 F1: The 501 auction-rate preferred shares reported as disposed of in Table I (the "ARP Shares") represent ARP Shares that were beneficially owned by WFC Holdings, LLC ("WFC Holdings") and EVEREN Capital Corporation ("EVEREN"). The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,250.00 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $0.00 per share). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Auction-Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-09-18 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-09-18 · Other · Disposed 469 · Balance 0 F2: The 469 ARP Shares reported as disposed of in Table I represent ARP Shares that were beneficially owned by WFC Holdings and EVEREN. The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,255.08 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $5.08 per share). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 271 |
Reported balance
After 2018-09-18 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-09-18 · Other · Acquired 271 · Balance 271 F3: The 271 variable rate munifund term preferred shares reported as acquired in Table I (the "VMTP Shares") represent VMTP Shares of which 28 VMTP Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"), 241 VMTP Shares are beneficially owned by WFC Holdings, and 2 VMTP Shares are beneficially owned by EVEREN. The VMTP Shares were acquired from the Issuer at a price of $100,000 per share. Following the tender of ARP Shares and the acquisition of the VMTP Shares, none of the reporting persons hold 10% or more of the preferred shares of the Issuer. Capital Strategies, WFC Holdings, and EVEREN are each a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 501 auction-rate preferred shares reported as disposed of in Table I (the "ARP Shares") represent ARP Shares that were beneficially owned by WFC Holdings, LLC ("WFC Holdings") and EVEREN Capital Corporation ("EVEREN"). The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,250.00 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $0.00 per share).
F2: The 469 ARP Shares reported as disposed of in Table I represent ARP Shares that were beneficially owned by WFC Holdings and EVEREN. The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,255.08 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $5.08 per share).
F3: The 271 variable rate munifund term preferred shares reported as acquired in Table I (the "VMTP Shares") represent VMTP Shares of which 28 VMTP Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"), 241 VMTP Shares are beneficially owned by WFC Holdings, and 2 VMTP Shares are beneficially owned by EVEREN. The VMTP Shares were acquired from the Issuer at a price of $100,000 per share. Following the tender of ARP Shares and the acquisition of the VMTP Shares, none of the reporting persons hold 10% or more of the preferred shares of the Issuer. Capital Strategies, WFC Holdings, and EVEREN are each a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings.
F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO MUNICIPAL INCOME FUND
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2025-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2025-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-01 · Other · Disposed 204 · Balance 0 F1: In connection with the reorganization of the Issuer into PIMCO Municipal Income Fund II ("PML"), 204 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PML in a cashless transaction. The 204 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into PIMCO Municipal Income Fund II ("PML"), 204 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PML in a cashless transaction. The 204 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO MUNICIPAL INCOME FUND III
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2025-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Remarketable Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2025-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-01 · Other · Disposed 239 · Balance 0 F1: In connection with the reorganization of the Issuer into PIMCO Municipal Income Fund II ("PML"), 239 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PML in a cashless transaction. The 239 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the reorganization of the Issuer into PIMCO Municipal Income Fund II ("PML"), 239 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") were exchanged for an equal number of RVMTP Shares of PML in a cashless transaction. The 239 shares reported as disposed of in Table I represent shares that were beneficially owned by Capital Strategies. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIMCO NEW YORK MUNICIPAL INCOME FUND II
Report date September 18, 2018 · Filed September 20, 2018
Jointly reported with WFC HOLDINGS CORP
Section 16 reporting ended · disclosed 2018-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction-Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-09-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-09-18 · Other · Disposed 180 · Balance 0 F1: The 180 auction-rate preferred shares reported as disposed of in Table I (the "ARP Shares") represent ARP Shares that were beneficially owned by WFC Holdings, LLC ("WFC Holdings") and EVEREN Capital Corporation ("EVEREN"). The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,253.38 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $3.38 per share). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Auction-Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2018-09-18 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-09-18 · Other · Disposed 201 · Balance 0 F2: The 201 ARP Shares reported as disposed of in Table I represent ARP Shares that were beneficially owned by WFC Holdings. The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,259.99 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $9.99 per share). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivative | IndirectBy Subsidiary | 210 |
Reported balance
After 2018-09-18 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-09-18 · Other · Acquired 210 · Balance 210 F3: The 210 variable rate munifund term preferred shares reported as acquired in Table I (the "VMTP Shares") represent VMTP Shares of which 114 VMTP Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"), 95 VMTP Shares are beneficially owned by WFC Holdings, and 1 VMTP Share is beneficially owned by EVEREN. The VMTP Shares were acquired from the Issuer at a price of $100,000 per share. Following the tender of ARP Shares and the acquisition of the VMTP Shares, none of the reporting persons hold 10% or more of the preferred shares of the Issuer. Capital Strategies, WFC Holdings, and EVEREN are each a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings. F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 180 auction-rate preferred shares reported as disposed of in Table I (the "ARP Shares") represent ARP Shares that were beneficially owned by WFC Holdings, LLC ("WFC Holdings") and EVEREN Capital Corporation ("EVEREN"). The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,253.38 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $3.38 per share).
F2: The 201 ARP Shares reported as disposed of in Table I represent ARP Shares that were beneficially owned by WFC Holdings. The ARP Shares were sold to the Issuer as a result of a tender offer made by the Issuer for a tender price of $21,259.99 per share (which included a payment equal to $21,250 per share (representing 85% percent of the $25,000 liquidation preference per share) and accrued dividends of $9.99 per share).
F3: The 210 variable rate munifund term preferred shares reported as acquired in Table I (the "VMTP Shares") represent VMTP Shares of which 114 VMTP Shares are beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"), 95 VMTP Shares are beneficially owned by WFC Holdings, and 1 VMTP Share is beneficially owned by EVEREN. The VMTP Shares were acquired from the Issuer at a price of $100,000 per share. Following the tender of ARP Shares and the acquisition of the VMTP Shares, none of the reporting persons hold 10% or more of the preferred shares of the Issuer. Capital Strategies, WFC Holdings, and EVEREN are each a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F4: This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries Capital Strategies and EVEREN, and its direct ownership of its subsidiary WFC Holdings.
F5: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIONEER MUNICIPAL HIGH INCOME ADVANTAGE FUND, INC.
Report date May 30, 2023 · Filed June 01, 2023
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2023-06-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred Shares, Series 2021SEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2023-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-30 · Other · Disposed 1,400 · Balance 0 F1: The 1,400 variable rate munifund term preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares, series 2021 of the Issuer (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares to a new shareholder for a price of $100,443.7608 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $443.7608 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,400 variable rate munifund term preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares, series 2021 of the Issuer (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares to a new shareholder for a price of $100,443.7608 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $443.7608 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
PIONEER MUNICIPAL HIGH INCOME FUND, INC.
Report date May 30, 2023 · Filed June 01, 2023
Jointly reported with Wells Fargo Municipal Capital Strategies, LLC
Section 16 reporting ended · disclosed 2023-06-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate MuniFund Term Preferred Shares, Series 2021SEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2023-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-30 · Other · Disposed 1,290 · Balance 0 F1: The 1,290 variable rate munifund term preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares, series 2021 of the Issuer (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares to a new shareholder for a price of $100,443.7608 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $443.7608 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,290 variable rate munifund term preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares, series 2021 of the Issuer (the "VMTP Shares") that were beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares to a new shareholder for a price of $100,443.7608 per share (which includes a liquidation preference of $100,000.00 per share and accrued dividends of $443.7608 per share). Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo").
F2: This statement is jointly filed by Wells Fargo and Capital Strategies. Wells Fargo holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary Capital Strategies.
F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
RACKSPACE HOSTING, INC.
Report date December 31, 2011 · Filed February 07, 2012
Section 16 reporting ended · disclosed 2012-02-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-01-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2011-01-12 · Gift · Disposed 563,743 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-04-05 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2011-04-05 · Gift · Disposed 281,000 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-04-06 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2011-04-06 · Gift · Disposed 282,743 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-04-15 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2011-04-15 · Gift · Disposed 281,871 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-04-18 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2011-04-18 · Gift · Disposed 281,872 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 4,333,952 |
Reported balance
After 2011-06-27 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2011-06-27 · Gift · Disposed 3,500,000 · Balance 4,333,952 F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares. F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein.
F2: As of December 31, 2011, after all gifts were distributed as described in this Form 5, Wells Fargo held 4,333,952 shares.
SCHMITT INDUSTRIES INC
Report date June 23, 2004 · Filed June 25, 2004
Jointly reported with WELLS FARGO BANK N A
Section 16 reporting ended · disclosed 2004-06-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote 1. | 0 |
Reported balance
After 2004-06-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-06-23 · Sale · Disposed 509,331 · Balance 0 F1: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. |
Filing footnotes · ownership attribution and instrument terms
F1: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 10, 2010 Filed Nov 15, 2010 22:14 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 76,944 | $28.53 | $2,195,212.32 |
DisclosureSEC source: 0001181431-10-055679 · rrd290903.xml · nonDerivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 15,631,097 F3 · price: The prices for the sales of these shares ranged from $28.26 to $28.93. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 10, 2010 Filed Nov 15, 2010 22:14 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 223,056 | $27.91 | $6,225,492.96 |
DisclosureSEC source: 0001181431-10-055679 · rrd290903.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 15,708,041 F1 · price: The prices for the sales of these shares ranged from $27.25 to $28.24. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 09, 2010 Filed Nov 12, 2010 21:18 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 13,000 | $27.59 | $358,670.00 |
DisclosureSEC source: 0001181431-10-055332 · rrd290900.xml · nonDerivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 15,931,097 F3 · price: The prices for the sales of these shares ranged from $27.50 to $27.98. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 09, 2010 Filed Nov 12, 2010 21:18 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 237,000 | $27.01 | $6,401,370.00 |
DisclosureSEC source: 0001181431-10-055332 · rrd290900.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 15,944,097 F1 · price: The prices for the sales of these shares ranged from $26.50 to $27.48. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 08, 2010 Filed Nov 10, 2010 21:18 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 170,000 | $26.44 | $4,494,800.00 |
DisclosureSEC source: 0001181431-10-054780 · rrd290770.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 16,181,097 F1 · price: The prices for the sales of these shares ranged from $26.25 to $26.69. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 05, 2010 Filed Nov 9, 2010 22:05 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 150,000 | $26.50 | $3,975,000.00 |
DisclosureSEC source: 0001181431-10-054408 · rrd290655.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 16,351,097 F1 · price: The prices for the sales of these shares ranged from $26.25 to $26.82. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 04, 2010 Filed Nov 8, 2010 21:11 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 125,000 | $26.43 | $3,303,750.00 |
DisclosureSEC source: 0001181431-10-054022 · rrd290392.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 16,501,097 F1 · price: The prices for the sales of these shares ranged from $26.00 to $26.99. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 03, 2010 Filed Nov 5, 2010 20:29 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 140,000 | $26.25 | $3,675,000.00 |
DisclosureSEC source: 0001181431-10-053729 · rrd290239.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 16,626,097 F1 · price: The prices for the sales of these shares ranged from $26.00 to $26.64. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| November 02, 2010 Filed Nov 4, 2010 20:25 UTC | RACKSPACE HOSTING, INC. RAX · Entity 12943 | SaleCommon Stock | 150,000 | $26.10 | $3,915,000.00 |
DisclosureSEC source: 0001181431-10-053484 · rrd290117.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 16,766,097 F1 · price: The prices for the sales of these shares ranged from $25.76 to $26.35. The reporting person hereby undertakes to provide, upon written request, to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction is effected. F2 · ownership.nature: Shares held of record by Norwest Limited LP, LLLP, an indirectly wholly-owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial interest in such securities, except to the extent of its pecuniary interest therein. Read SEC document |
| August 30, 2010 Filed Sep 2, 2010 16:30 UTC | CUBIC ENERGY INC QBC · Entity 12633 | PurchaseWarrant to Purchase Shares of Common Stock · Derivative | 1,000,000 | $1.00 Strike: $1.00 | $1,000,000.00 |
DisclosureSEC source: 0001181431-10-045274 · rrd285557.xml · derivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2014-12-01 F1 · ownership.direct: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of GST Co. (GST), and an indirectly held subsidiary of Wells Fargo & Company (Wells Fargo). GST and Wells Fargo each disclaim beneficial ownership of these securities, except of their respective pecuniary interests therein. Read SEC document |
| December 18, 2009 Filed Dec 22, 2009 22:13 UTC | CUBIC ENERGY INC QBC · Entity 12633 | PurchaseWarrant to Purchase Shares of Common Stock · Derivative | 5,000,000 | $1.00 Strike: $1.00 | $5,000,000.00 |
DisclosureSEC source: 0001181431-09-058293 · rrd260746.xml · derivative · entry 3 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,000,000 Underlying: Common Stock · 5,000,000 shares Expires 2014-12-01 F3 · ownership.direct: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| August 18, 2009 Filed Dec 22, 2009 22:13 UTC | CUBIC ENERGY INC QBC · Entity 12633 | OtherWarrant to Purchase Shares of Common Stock · Derivative | 0 | Not disclosed Strike: $0.99 | Not disclosed |
DisclosureSEC source: 0001181431-09-058293 · rrd260746.xml · derivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 2,500,000 Underlying: Common Stock · 2,500,000 shares Expires 2014-12-01 F4 · derivative.exercise_price: Antidilution adjustment to warrant exercise price pursuant to terms of the warrant as a result of the sales referenced in footnote (1). F4 · kind: Antidilution adjustment to warrant exercise price pursuant to terms of the warrant as a result of the sales referenced in footnote (1). F4 · shares: Antidilution adjustment to warrant exercise price pursuant to terms of the warrant as a result of the sales referenced in footnote (1). F4 · price: Antidilution adjustment to warrant exercise price pursuant to terms of the warrant as a result of the sales referenced in footnote (1). F3 · ownership.direct: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| August 18, 2009 Filed Dec 22, 2009 22:13 UTC | CUBIC ENERGY INC QBC · Entity 12633 | OtherConvertible Promissory Note · Derivative | 44,899 | Not disclosed Strike: $0.99 | Not disclosed |
DisclosureSEC source: 0001181431-09-058293 · rrd260746.xml · derivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,044,899 Underlying: Common Stock · 44,899 shares Expires 2012-07-01 F1 · derivative.exercise_price: Antidilution adjustment pursuant to the related credit agreement as the result of sales of common stock on August 18 and 26, 2009. F1 · kind: Antidilution adjustment pursuant to the related credit agreement as the result of sales of common stock on August 18 and 26, 2009. F1 · price: Antidilution adjustment pursuant to the related credit agreement as the result of sales of common stock on August 18 and 26, 2009. F2 · derivative.underlying_shares: As adjusted pursuant to the terms of the related credit agreement as a result of the sales of common stock referenced in footnote (1). F2 · balance_after: As adjusted pursuant to the terms of the related credit agreement as a result of the sales of common stock referenced in footnote (1). F3 · ownership.direct: The indicated securities are held of record by Wells Fargo Energy Capital, Inc., a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). Wells Fargo disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| April 06, 2005 Filed Apr 8, 2005 19:51 UTC | QUEST RESOURCE CORP QRCPE · Entity 13894 | OtherCommon Stock · Derivative | 1,600,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000072971-05-000002 · edgar.xml · derivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO ENERGY CAPITAL INC · CIK 0001280460 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common · 1,600,000 shares Expires 2007-11-07 F1 · derivative.exercise_price: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F1 · price: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F2 · ownership.nature: Wells Fargo Energy Capital, Inc. ("WFECI") is an indirectly, wholly-owned subsidiary of the reporting person and a joint filer to this Form 4. WFECI was granted the warrant in conjunction with a subordinated debt facility for the Issuer. Read SEC document |
| April 06, 2005 Filed Apr 8, 2005 19:51 UTC | QUEST RESOURCE CORP QRCPE · Entity 13894 | OtherCommon Stock | 1,599,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000072971-05-000002 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO ENERGY CAPITAL INC · CIK 0001280460 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,599,600 F1 · shares: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F1 · price: Pursuant to the terms of the warrant listed in Table II, Wells Fargo Energy Capital, Inc. (the record holder of the warrant and a reporting person included in this Form 4) acquired upon exercise of the warrant that number of common shares of the issuer equal to the following, rounded to the nearest whole share: the quotient of (i) the product of (x) 1,600,000 shares multiplied by $4.00, the market price of the common stock estimated for purposes of this filling on April 6, 2005 (the exercise date) minus (y) $1,600.00 (the aggregate amount that the reporting person would otherwise be required to pay Quest upon exercise), divided by (ii) the estimated market price of $4.00 per share of common stock . F2 · ownership.nature: Wells Fargo Energy Capital, Inc. ("WFECI") is an indirectly, wholly-owned subsidiary of the reporting person and a joint filer to this Form 4. WFECI was granted the warrant in conjunction with a subordinated debt facility for the Issuer. Read SEC document |
| June 23, 2004 Filed Jun 25, 2004 17:42 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 509,331 | $2.00 | $1,018,662.00 |
DisclosureSEC source: 0001292349-04-000002 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 0 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 25, 2004 Filed Mar 26, 2004 15:06 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 7,800 | $1.83 | $14,259.96 |
DisclosureSEC source: 0000072971-04-000008 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 509,331 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 24, 2004 Filed Mar 24, 2004 20:54 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 7,400 | $1.76 | $13,049.16 |
DisclosureSEC source: 0000072971-04-000006 · edgar.xml · nonDerivative · entry 3 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 517,131 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 23, 2004 Filed Mar 24, 2004 20:54 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 4,000 | $1.78 | $7,103.20 |
DisclosureSEC source: 0000072971-04-000006 · edgar.xml · nonDerivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 524,531 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 22, 2004 Filed Mar 24, 2004 20:54 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 1,000 | $1.86 | $1,859.00 |
DisclosureSEC source: 0000072971-04-000006 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 528,531 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 19, 2004 Filed Mar 19, 2004 22:02 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 1,000 | $1.88 | $1,882.00 |
DisclosureSEC source: 0000072971-04-000004 · edgar.xml · nonDerivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 529,531 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| March 18, 2004 Filed Mar 19, 2004 22:02 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | SaleCommon Stock | 2,800 | $1.95 | $5,470.92 |
DisclosureSEC source: 0000072971-04-000004 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner WELLS FARGO BANK N A · CIK 0000740906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 1. Disclosed balance after: 530,531 F1 · ownership.nature: Wells Fargo Bank, National Association (the "Bank") is an indirectly wholly-owned subsidiary of the Reporting Person and a joint filer to this Form 4. The Bank may be deemed to have acquired these shares when it gave notice to insiders of the Issuer of the Bank's intent to dispose of such shares pledged by the insiders to the Bank (the "Notice") to secure loan(s) by the Bank, following the insiders' default on such loan. Although the Reporting Person and the Bank may each be deemed the beneficial owner of the shares under Section 13d-1(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the Reporting Person and the Bank each dislcaim beneficial ownership of these shares as they are attrituable to such insiders under Section 16 of the Exchange Act. Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,000 | $36.10 | $36,100.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 30 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 4,000 | $36.00 | $144,000.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 29 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,000 | $35.90 | $35,900.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 28 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,500 | $35.85 | $53,775.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 27 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 6,100 | $35.80 | $218,380.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 26 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 462,290 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,900 | $35.70 | $67,830.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 25 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 468,390 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 3,900 | $35.65 | $139,035.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 24 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,290 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 600 | $35.60 | $21,360.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 23 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,190 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,000 | $37.96 | $37,960.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 16 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 3,000 | $37.90 | $113,700.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 15 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 5,000 | $37.80 | $189,000.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 14 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 398,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 6,000 | $37.77 | $226,620.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 13 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 5,000 | $37.75 | $188,750.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 12 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 5,000 | $37.50 | $187,500.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 11 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 2,000 | $37.40 | $74,800.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 10 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 3,000 | $37.25 | $111,750.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 9 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 3,800 | $37.10 | $140,980.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 8 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,200 | $37.00 | $44,400.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 7 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,590 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 5,000 | $36.80 | $184,000.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 6 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 429,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 2,000 | $36.70 | $73,400.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 5 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 434,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 5,700 | $36.60 | $208,620.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 4 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 436,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 3,300 | $36.55 | $120,615.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 3 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442,490 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 2,000 | $36.52 | $73,040.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 2 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 445,790 Read SEC document |
| October 28, 2003 Filed Oct 29, 2003 21:39 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 7,000 | $36.50 | $255,500.00 |
DisclosureSEC source: 0000072971-03-000033 · edgar.xml · nonDerivative · entry 1 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,790 Read SEC document |
| October 27, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,200 | $36.25 | $43,500.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 22 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,790 Read SEC document |
| October 27, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,200 | $36.20 | $43,440.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 21 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475,990 Read SEC document |
| October 27, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 800 | $36.15 | $28,920.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 20 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,190 Read SEC document |
| October 27, 2003 Filed Oct 29, 2003 21:38 UTC | NVE CORP /NEW/ NVEC · Entity 5507 | SaleCommon Stock | 1,800 | $36.00 | $64,800.00 |
DisclosureSEC source: 0000072971-03-000032 · edgar.xml · nonDerivative · entry 19 WELLS FARGO & CO/MN · CIK 0000072971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,990 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.