0001299933-16-002903.txt : 20160823 0001299933-16-002903.hdr.sgml : 20160823 20160823162309 ACCESSION NUMBER: 0001299933-16-002903 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160823 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20160823 DATE AS OF CHANGE: 20160823 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-06880 FILM NUMBER: 161847444 BUSINESS ADDRESS: STREET 1: U.S. BANCORP STREET 2: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 651-466-3000 MAIL ADDRESS: STREET 1: U.S. BANCORP STREET 2: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 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 8-K 1 htm_53967.htm LIVE FILING U.S. Bancorp (Form: 8-K)  

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

     
Date of Report (Date of Earliest Event Reported):   August 23, 2016

U.S. Bancorp
__________________________________________
(Exact name of registrant as specified in its charter)

     
Delaware 1-6880 41-0255900
_____________________
(State or other jurisdiction 		_____________
(Commission 		______________
(I.R.S. Employer
of incorporation) File Number) Identification No.)
      
800 Nicollet Mall, Minneapolis, Minnesota   55402
_________________________________
(Address of principal executive offices) 		  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   651-466-3000

Not Applicable
______________________________________________
Former name or former address, if changed since last report

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans.

On August 23, 2016, U.S. Bancorp (the "Company") sent a notice to its directors informing them that the Company is changing the stock plan administrator for its stock incentive plans and that, as a result of this change, there will be a blackout period from September 26, 2016, through September 30, 2016, during which they will be prohibited from engaging in any option exercise transactions involving stock options acquired in connection with their service to the Company. The notice is attached hereto as Exhibit 99.1 and is incorporated herein by reference.





Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

Exhibit 99.1 Notice transmitted on August 23, 2016





SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

         
    U.S. Bancorp
          
August 23, 2016   By:   /s/ James L. Chosy
       
        Name: James L. Chosy
        Title: Executive Vice President and General Counsel

Exhibit Index


     
Exhibit No.   Description
 
99.1
  Notice transmitted on August 23, 2016
EX-99.1 2 exhibit1.htm EX-99.1 EX-99.1

Morgan Stanley transition to Fidelity

On October 3, 2016, U.S. Bancorp will transition stock plan administrative services from Morgan Stanley to Fidelity Stock Plan Services (Fidelity).

What is being transferred to Fidelity?
Your U.S. Bancorp restricted stock units and, if applicable, outstanding and unexercised stock options will transition to Fidelity.

Activating and accessing your Fidelity account
Prior to the transition, we will arrange a time for a member of the Executive Services Team at Fidelity to work with you to activate and access your Fidelity account, as well as to complete all paperwork that is required of you as a director.

Blackout period for stock options
For Fidelity to complete the account migration process, there will be a blackout period during which no stock option exercises will be permitted. The blackout period will begin before market open on Monday, September 26, and will end after market close on Friday, September 30. (Note that you would not be able to exercise options during that time anyway because the window for trading in U.S. Bancorp securities will not be open during this administrative blackout.)

Morgan Stanley StockPlan Connect account access
Information about transactions, such as stock option exercises, that have taken place on the Morgan Stanley system will not migrate to the Fidelity system. You may continue to access your Morgan Stanley StockPlan Connect account history online through April 30, 2017. Beginning May 1, 2017, you must call Morgan Stanley to request account history information.

You do not need to take any action at this time. We will continue to share communications related to the transition over the next several weeks. If you have questions, please contact me.

Thank you,

Karen A. Bulman
U.S. Bank Equity Administration

800 Nicollet Mall
Minneapolis, MN 55402
651.325.0390