S-3MEF 1 c61972s-3mef.txt FORM S-3 PURSUANT TO RULE 462(B) 1 As filed with the Securities and Exchange Commission on April 27, 2001 Registration No. 333- ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------- Form S-3 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 --------------- U.S. Bancorp Delaware 41-0255900 USB Capital III Delaware 41-1899114 USB Capital IV Delaware 41-1899116 USB Capital V Delaware 41-1899117 (State or other jurisdiction (I.R.S. Employer (Exact name of or incorporation or organization) Identification No.) Registrant as specified in its charter) Lee R. Mitau, Esq. 601 Second Avenue South 601 Second Avenue South Minneapolis, Minnesota 55402-4302 Minneapolis, Minnesota 55402-4302 (612) 973-1111 (612) 973-1111 (Name, address and telephone number, (Address, including zip code, and Including telephone number, including area code, of agent for service) area code, of registrant's principal executive offices) Copy to: Fred A. Summer, Esq. Lee Meyerson, Esq. Squire, Sanders & Dempsey L.L.P. Simpson Thacher & Bartlett 41 South High Street 425 Lexington Avenue Columbus, Ohio 43215 New York, New York 10017 (614) 365-2700 (212) 455-2000 Approximate date of commencement of proposed sale to the public: From time to time after the effective date of this Registration Statement. If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box. [ ] If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered in connection with dividend or interest reinvestment plans, check the following box. [X] If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [X] Registration No. 333-83463 2 If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ] If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the box. [ ] CALCULATION OF REGISTRATION FEE
Proposed Proposed Amount Maximum Maximum Amount of Title in Each Class of to be Offering Price Aggregate Registration Securities to be Registered Registered Per Unit(1) Offering Price(1) Fee --------------------------- ---------- -------------- ----------------- ------------ Junior Subordinated Debt Securities of U.S. Bancorp ("Junior Subordinated Debt Securities") Capital Securities of USB Capital III ("Capital Securities") And Guarantees of Capital Securities of USB Capital III ("Guarantee" and together with the Junior Subordinated Debt Securities and the Capital Securities, the "Securities") (2) $78,000,000(3) 100% $78,000,000(3) $19,500 -------------- --- -------------- ------- ===================================================================================================================
(1) Estimated solely for the purpose of computing the registration fee pursuant to Rule 457(o). (2) In addition to the Guarantee and the Junior Subordinated Debt Securities, U.S. Bancorp is also registering under this registration statement certain other back-up obligations. Such back-up obligations include its obligations under the Indenture related to the Capital Securities and under the Amended and Restated Trust Agreement of USB Capital III, pursuant to which U.S. Bancorp will agree, among other things, to pay all debts and obligations (other than with respect to the Capital Securities) of USB Capital Trust III, and all costs or expenses of USB Capital Trust III, including all fees, expenses and taxes of such Trust. No separate consideration will be received by U.S. Bancorp for the Guarantee or such other back-up obligations. (3) Represents $78,000,000 additional principal amount of Securities to be registered pursuant to Rule 462(b) on this Post-Effective Amendment to the Registrants' Registration Statement No. 333-83643. EXPLANATORY NOTE This Registration Statement is being filed pursuant to Rule 462(b) and General Instruction IV of Form S-3, both promulgated under the Securities Act of 1933, as amended. The contents of Registration Statement No. 333-83643 which became effective on August 10, 1999, including each of the documents filed by the Company with the Commission and incorporated or deemed to be incorporated by reference therein, are hereby incorporated by reference. 3 SIGNATURES Pursuant to the Requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Minneapolis, State of Minnesota, on April , 2001. U.S. Bancorp By: /s/ Jerry A. Grundhofer ---------------------------- Jerry A. Grundhofer President and Chief Executive Officer (principal executive officer) Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
SIGNATURE TITLE DATE --------- ----- ---- /s/ Jerry A. Grundhofer President, Chief Executive April , 2001 -------------------------------- Officer and Director Jerry A. Grundhofer (principal executive officer) /s/ David M. Moffett Vice Chairman and Chief April , 2001 -------------------------------- Financial Officer David M. Moffett (principal financial officer) /s/ Terrance R. Dolan Senior Vice April , 2001 -------------------------------- President and Controller Terrance R. Dolan (principal accounting officer) /s/ John F. Grundhofer* Chairman and Director April , 2001 -------------------------------- John F. Grundhofer /s/Linda L. Ahlers* Director April , 2001 -------------------------------- Linda L. Ahlers /s/Victoria B. Buyniski Gluckman* Director April , 2001 --------------------------------- Victoria Buyniski Gluckman /s/ Arthur D. Collins, Jr.* Director April , 2001 -------------------------------- Arthur D. Collins, Jr. /s/ Peter H. Coors* Director April , 2001 -------------------------------- Peter H. Coors /s/ John C. Dannemiller* Director April , 2001 -------------------------------- John C. Dannemiller /s/ Joshua Green III* Director April , 2001 -------------------------------- Joshua Green III /s/J. P. Hayden, Jr.* Director April , 2001 -------------------------------- J.P. Hayden, Jr. /s/Roger L. Howe* Director April , 2001 -------------------------------- Roger L. Howe /s/Thomas H. Jacobsen* Director April , 2001 -------------------------------- Thomas H. Jacobsen
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SIGNATURE TITLE DATE --------- ----- ---- /s/ Delbert W. Johnson* Director April , 2001 ----------------------------- Delbert W. Johnson /s/ Joel W. Johnson* Director April , 2001 ----------------------------- Joel W. Johnson /s/ Jerry W. Levin* Director April , 2001 ----------------------------- Jerry W. Levin /s/ Sheldon B. Lubar* Director April , 2001 ----------------------------- Sheldon B. Lubar /s/Frank Lyon, Jr.* Director April , 2001 ----------------------------- Frank Lyon, Jr. /s/Daniel F. McKeithan, Jr.* Director April , 2001 ----------------------------- Daniel F. McKeithan, Jr. /s/David B. O'Maley* Director April , 2001 ----------------------------- David B. O'Maley /s/O'dell Owens, M.D., M.P.H.* Director April , 2001 ------------------------------ O'dell M. Owens, M.D., M.P.H. /s/Thomas E. Petry* Director April , 2001 ----------------------------- Thomas E. Petry /s/ Richard G. Reiten* Director April , 2001 ----------------------------- Richard G. Reiten /s/ S. Walter Richey* Director April , 2001 ----------------------------- S. Walter Richey /s/Warren R. Staley* Director April , 2001 ----------------------------- Warren R. Staley /s/Patrick T. Stokes* Director April , 2001 ----------------------------- Patrick T. Stokes /s/ John J. Stollenwerk * Director April , 2001 ----------------------------- John J. Stollenwerk *By /s/Terrance R. Dolan Attorney-in-fact for the ----------------------------- persons indicated above with Terrance R. Dolan an * Attorney-in-fact
Pursuant to the requirements of the Securities Act of 1933, USB Capital III certifies that it has reasonable grounds to believe that it meets all the requirements for filing on Form S-3 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Minneapolis, and State of Minnesota on April , 2001. USB CAPITAL III By: U.S. Bancorp, as Depositor By: /s/Lee R. Mitau ------------------------------- 5 EXHIBIT INDEX 5.1 Opinion of Richards, Layton & Finger, P.A. as to the validity of the Trust Preferred Securities of USB Capital III. 5.2 Opinion of Squire, Sanders & Dempsey L.L.P., as to validity of the Junior Subordinated Debt Securities and Guarantee of U.S. Bancorp. 8.1 Opinion of Squire, Sanders & Dempsey L.L.P. regarding certain tax matters. 23.1 Consent of Richards, Layton & Finger, P.A. (included in Exhibit 5.1). 23.2 Consents of Squire, Sanders & Dempsey L.L.P. (included in Exhibits 5.2 and 8.1). 23.3 Consent of PricewaterhouseCoopers LLP 24.1 Power of Attorney