-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Rsnohf4N5sYBXjks0j1F9kXSkq+tFs9rJwiWfaTqJ6xqlVabxVlfso2zyHTKrTjw XoHaZEQjuYQfj5ZZ340dZQ== 0000036104-04-000023.txt : 20040121 0000036104-04-000023.hdr.sgml : 20040121 20040121133441 ACCESSION NUMBER: 0000036104-04-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040116 FILED AS OF DATE: 20040121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRUNDHOFER JOHN F CENTRAL INDEX KEY: 0001185483 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-65358 FILM NUMBER: 04534577 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: US BANCORP \DE\ CENTRAL INDEX KEY: 0000036104 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 410255900 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: U.S.BANCORP STREET 2: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612)973-1111 MAIL ADDRESS: STREET 1: U.S.BANCORP STREET 2: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: FIRST BANK SYSTEM INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: FIRST BANK STOCK CORP DATE OF NAME CHANGE: 19720317 4 1 edgar.xml PRIMARY DOCUMENT X0201 42004-01-16 0000036104 US BANCORP \DE\ USB 0001185483 GRUNDHOFER JOHN F U.S. BANCORP 800 NICOLLET MALL MINNEAPOLIS MN 55402 1000Common Stock, $0.01 par value2004-01-164M08740627.6818A87406DCommon Stock, $0.01 par value2004-01-164S08740628.4842D0DCommon Stock, $0.01 par value2004-01-164M010860327.6818A108603DCommon Stock, $0.01 par value2004-01-164S010860328.4842D0DCommon Stock, $0.01 par value2004-01-164M05475627.6818A54756DCommon Stock, $0.01 par value2004-01-164S05475628.4842D0DCommon Stock, $0.01 par value2004-01-164M012980527.6818A129805DCommon Stock, $0.01 par value2004-01-164S012980528.4842D0DCommon Stock, $0.01 par value1000000IBy TrustCommon Stock, $0.01 par value12479.21I401(k) PlanEmployee Stock Option (Right to Buy)27.68182004-01-164M0874060D1998-04-242004-01-19Common Stock874060DEmployee Stock Option (Right to Buy)27.68182004-01-164M01086030D1998-04-242004-01-19Common Stock1086030DEmployee Stock Option (Right to Buy)27.68182004-01-164M 0547560D1998-04-242004-01-19Common Stock547560DEmployee Stock Option (Right to Buy)27.68182004-01-164M01298050D1998-04-242004-01-19Common Stock1298050DEmployee Stock Option (Right to Buy)22.74532004-01-025G014650D2001-02-272007-08-01Common Stock1465380616DEmployee Stock Option (Right to Buy)22.74532004-01-025G014650D2001-02-272007-08-01Common Stock1465379151DEmployee Stock Option (Right to Buy)33.76042004-01-025G0117750D1998-12-312004-01-19Common Stock1177514768D Employee Stock Option (Right to Buy)29.15182004-01-025G036830D2001-02-272009-04-20Common Stock36831914977DEmployee Stock Option (Right to Buy)27.03622004-01-025G09690D2000-04-222006-12-19Common Stock969337920DEmployee Stock Option (Right to Buy)27.03622004-01-025G09690D2000-04-222006-12-19Common Stock969336951DNon-Employee Director Stock Option (Right to Buy)28.502004-01-204A058820A2014-01-20Common Stock58825882DRestricted Stock Units2004-01-204A018820ACommon Stock18821882DRestricted Stock UnitsCommon Stock26462646DNon-Employee Director Stock Options (Right to Buy)21.49382012-12-17Common Stock72497249D< value>Employee Stock Option (Right to Buy)23.18242011-02-27Common Stock24163202416320DEmployee Stock Option (Right to Buy)28.90351999 - -11-052007-08-01Common Stock169682169682DEmployee Stock Option (Right to Buy)33.76041998-12-312006-12-19Common Stock317546317546DEmployee Stock Option (Right to Buy)33.76041998-12-312006-12-19Common Stock324043324043DBased on a plan report dated 12/31/03, the most recent plan report available.The exercise price and number of shares subject to the option were adjusted to preserve the economic value of the option in connection with the special dividend paid to effect the spin-off of the company's Piper Jaffray subsidiary on December 31, 2003, by multiplying the number of shares subject to the option, and dividing the option price, by 1.0068.The option vests in four equal annual installments beginning on January 20, 2005.Restricted stock units convert into common stock on a one-for-one basis.The restricted stock units vest in four equal annual installmen ts beginning on January 20, 2005. Units are payable in common stock when the reporting person retires in accordance with the Company's director retirement policy; only vested units are payable when board service ends under other circumstances.The restricted stock units vest in four equal annual installments beginning on December 17, 2003. Units are payable in common stock when the reporting person retires in accordance with the Company's director retirement policy; only vested units are payable when board service ends under other circumstances.Includes restricted stock units acquired in January, April, July and October 2003 and January 2004 pursuant to a dividend reinvestment feature of the reporting person's restricted stock unit award. Includes an adjustment to the number of restricted stock units in order to preserve the economic value of the plan participation in connection with the special dividend paid to effect t he spin-off of the company's Piper Jaffray subsidiary on December 31, 2003, by multiplying the number of units in the account by .01475.The option vests in four equal annual installments beginning on December 17, 2003.The option vests in four equal annual installments beginning on February 27, 2002.Lee R. Mitau for John F. Grundhofer2004-01-21 -----END PRIVACY-ENHANCED MESSAGE-----