SEC Form 4 · accession 0001225208-18-003763
US BANCORP \DE\ · USB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
P.W. Parker
Officer — Vice Chairman
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 4:20 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 | Feb 20, 2018 | M | 38,445 | $40.32 | A | 370,479 | D | |
| Common Stock, $0.01 par value | Feb 20, 2018 | M | 30,614 | $44.32 | A | 401,093 | D | |
| Common Stock, $0.01 par value | Feb 20, 2018 | M | 29,426 | $39.49 | A | 430,519 | D | |
| Common Stock, $0.01 par value | Feb 20, 2018 | F | 12,779 | $55.61 | D | 417,740 | D | |
| Common Stock, $0.01 par valueF1 | Feb 20, 2018 | S | 29,426 | $55.87 | D | 388,314 | D | |
| Common Stock, $0.01 par valueF2 | Feb 20, 2018 | S | 30,614 | $55.97 | D | 357,700 | D | |
| Common Stock, $0.01 par valueF3 | Feb 20, 2018 | S | 38,445 | $56.00 | D | 319,255 | D | |
| Common Stock, $0.01 par value | holding | — | — | — | 3,912 | I | By Power of Attorney for Parent |
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)F4 | $39.49 | Feb 20, 2018 | M | 29,426 | D | — | Feb 18, 2026 | Common Stock, $0.01 par value | 29,426 | 29,426 | D |
| Employee Stock Option (Right to Buy)F5 | $44.32 | Feb 20, 2018 | M | 30,614 | D | — | Feb 19, 2025 | Common Stock, $0.01 par value | 30,614 | 10,205 | D |
| Employee Stock Option (Right to Buy)F6 | $40.32 | Feb 20, 2018 | M | 38,445 | D | — | Feb 20, 2024 | Common Stock, $0.01 par value | 38,445 | 0 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $55.86 to $55.92. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $55.93 to $56.04. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F3The price in Column 4 is a weighted average price. The prices actually received ranged from $55.98 to $56.06. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F4The option vests in four equal annual installments begining on February 18, 2017.
- F5The option vests in four equal annual installments begining on February 19, 2016.
- F6The option vested in four equal annual installments beginning on February 20, 2015.