SEC Form 4 · accession 0001225208-18-004958
US BANCORP \DE\ · USB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig E Gifford
Officer — EVP and Controller
Period of report
Feb 28, 2018
Accepted (ET)
Mar 1, 2018 · 5:10 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 28, 2018 | M | 13,526 | $11.02 | A | 62,775 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | M | 13,524 | $13.88 | A | 76,299 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | M | 7,144 | $23.86 | A | 83,443 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | M | 6,017 | $28.63 | A | 89,460 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | M | 5,679 | $28.70 | A | 95,139 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | S | 5,679 | $55.32 | D | 89,460 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | S | 6,017 | $55.32 | D | 83,443 | D | |
| Common Stock, $0.01 par value | Feb 28, 2018 | S | 7,144 | $55.34 | D | 76,299 | D | |
| Common Stock, $0.01 par valueF1 | Feb 28, 2018 | S | 13,524 | $55.36 | D | 62,775 | D | |
| Common Stock, $0.01 par valueF2 | Feb 28, 2018 | S | 13,526 | $55.37 | D | 49,249 | D | |
| Common Stock, $0.01 par valueF3 | holding | — | — | — | 1,164 | I | By 401(k) plan |
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 | $13.88 | Feb 28, 2018 | M | 13,524 | D | — | Jan 22, 2019 | Common Stock, $0.01 par value | 13,524 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $28.63 | Feb 28, 2018 | M | 6,017 | D | — | Feb 15, 2022 | Common Stock, $0.01 par value | 6,017 | 0 | D |
| Employee Stock Option (Right to Buy)F6 | $23.86 | Feb 28, 2018 | M | 7,144 | D | — | Feb 16, 2020 | Common Stock, $0.01 par value | 7,144 | 0 | D |
| Employee Stock Option (Right to Buy)F7 | $28.70 | Feb 28, 2018 | M | 5,679 | D | — | Feb 16, 2021 | Common Stock, $0.01 par value | 5,679 | 0 | D |
| Employee Stock Option (Right to Buy)F8 | $11.02 | Feb 28, 2018 | M | 13,526 | D | — | Feb 18, 2019 | Common Stock, $0.01 par value | 13,526 | 0 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $55.35 to $55.38. 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 $55.36 to $55.38. 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.
- F3Based on a plan report dated February 28, 2018, the most recent plan report available.
- F4The option vested in four equal annual installments beginning on January 22, 2010.
- F5The option vested in four equal annual installments beginning on February 15, 2013.
- F6The option vested in four equal annual installments beginning on February 16, 2011.
- F7The option vested in four equal annual installments beginning on February 16, 2012.
- F8The option vested in four equal annual installments beginning February 18, 2010.