SEC Form 4 · accession 0001225208-17-002119
US BANCORP \DE\ · USB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennie P Carlson
Officer — EVP, Human Resources
Period of report
Jan 27, 2017
Accepted (ET)
Jan 31, 2017 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000036104
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value | Jan 27, 2017 | M | 20,000 | $13.10 | A | 85,185 | D | |
| Common Stock, $0.01 par value | Jan 27, 2017 | S | 20,000 | $53.10 | D | 65,185 | D | |
| Common Stock, $0.01 par valueF1 | holding | — | — | — | 12,749 | I | By 401(k) plan | |
| Common Stock, $0.01 par value | holding | — | — | — | 2,235 | I | By IRA | |
| Common Stock, $0.01 par value | holding | — | — | — | 133,502 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $13.10 | Jan 27, 2017 | M | 20,000 | D | — | Mar 2, 2019 | Common Stock, $0.01 par value | 20,000 | 60,741 | D |
Explanation of responses
- F1Based on a plan report dated December 31, 2016, the most recent plan report available.
- F2The option vested in four equal annual installments beginning on March 2, 2010.