SEC Info - U.S. Bancorp Asset Management, Inc.

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<filer>

</filer>

<entityName> U.S. Bancorp Asset Management, Inc. </entityName>

<street1> 800 Nicollet Mall </street1>

<city> Minneapolis </city>

<stateOrCountry> MINNESOTA </stateOrCountry>

</principalOfficeAddress>

<differentMailingAddress> false </differentMailingAddress>

<conductBusinessInOtherLocations> false </conductBusinessInOtherLocations>

<engagedServiceCompany> false </engagedServiceCompany>

<engagedAsServiceCompany> false </engagedAsServiceCompany>

<registrantType> Corporation </registrantType>

<entityName> Thomas Stephen Schreier, Jr. </entityName>

<titleOrStatus> Director, President and CEO </titleOrStatus>

</corporationPartnershipData>

<entityName> Joseph Madison Ulrey III </entityName>

<titleOrStatus> Director, CEO and President </titleOrStatus>

</corporationPartnershipData>

<entityName> Charles R. Manzoni, Jr. </entityName>

<titleOrStatus> General Counsel and Secretary </titleOrStatus>

</corporationPartnershipData>

<entityName> David Harrison Lui </entityName>

<titleOrStatus> Chief Compliance Officer </titleOrStatus>

</corporationPartnershipData>

<entityName> Mark Steven Jordahl </entityName>

<titleOrStatus> Director and CIO </titleOrStatus>

</corporationPartnershipData>

<entityName> U.S. Bank National Association </entityName>

<titleOrStatus> Shareholder </titleOrStatus>

</corporationPartnershipData>

<entityName> U.S. Bancorp </entityName>

<titleOrStatus> Parent/U.S. Bank National Association </titleOrStatus>

<controlPerson> false </controlPerson>

</corporationPartnershipData>

<entityName> Richard Ertel </entityName>

<titleOrStatus> Director, General Counsel and Secretary </titleOrStatus>

</corporationPartnershipData>

<entityName> Eric J. Thole </entityName>

<titleOrStatus> Director, CEO and President </titleOrStatus>

</corporationPartnershipData>

<titleOrStatus> Chief Compliance Officer </titleOrStatus>

</corporationPartnershipData>

<entityName> James D. Palmer </entityName>

<titleOrStatus> Director, Chief Investment Officer </titleOrStatus>

</corporationPartnershipData>

</registrant>

<otherEntity> false </otherEntity>

</otherControlManagement>

<otherEntity> false </otherEntity>

</otherControlFinance>

<involved> false </involved>

</felonyOrMisdemeanor>

<involved> false </involved>

</otherFelony>

<involved> false </involved>

</enjoinedInvestmentRelatedActivity>

<involved> false </involved>

</violationOfInvestmentRelatedRegulation>

<involved> false </involved>

</falseStatementOrOmission>

<entityName> U.S. Bank National Association </entityName>

<actionTitle> Cease & Desist / Monetary Fine </actionTitle>

<courtOrBodyNameAndLocation> Securities and Exchange Commission </courtOrBodyNameAndLocation>

<actionDescription> On September 2, 2005, the Securities and Exchange Commission ("SEC") instituted administrative cease and desist proceedings (File No. 3-12029), making findings regarding the same. The SEC alleged that from April 1994 to September 2001, U.S. Bank engaged as principal in prohibited affiliated foreign exchange transactions with certain mutual funds with which it was an affiliate in violation of Section 17(a) of the Investment Company Act of 1940. </actionDescription>

<dispositionOfProceeding> U.S. Bank consented to the entry of the SEC's order instituting administrative cease and desist proceedings and paid a civil monetary penalty of $500,000 on September 15, 2005. </dispositionOfProceeding>

</violationOfRegulationsDetails>

</violationOfRegulations>

<involved> false </involved>

</authorizationDeniedOrSuspended>

<entityName> U.S. Bank National Association </entityName>

<actionTitle> Cease & Desist / Monetary Fine </actionTitle>

<courtOrBodyNameAndLocation> Securities and Exchange Commission </courtOrBodyNameAndLocation>

</registrationDeniedOrSuspendedDetails>

</registrationDeniedOrSuspended>

<involved> false </involved>

</fsrFalseStatementOrOmission>

<involved> false </involved>

</fsrViolationOfInvestmentRelatedRegulation>

<involved> false </involved>

</fsrAuthorizationDeniedOrSuspended>

<involved> false </involved>

</fsrFoundOrderAgainstApplicant>

<involved> false </involved>

</fsrRegistrationDeniedOrSuspended>

<involved> false </involved>

</fsrRevokedSuspendedLicense>

</federalOrStateRegulatoryAgency>

<involved> false </involved>

</sraFalseStatementOrOmission>

<involved> false </involved>

</sraViolationOfRules>

<involved> false </involved>

</sraAuthorizationDeniedOrSuspended>

<involved> false </involved>

</sraRevokedSuspendedLicense>

</selfRegulatoryAgency>

<involved> false </involved>

</foreignAgency>

<involved> false </involved>

</subjectOfProceedings>

<involved> false </involved>

</revokedBond>

<involved> false </involved>

</unsatisfiedJudgementsOrLiens>

<signatureName> Eric Thole </signatureName>

<signatureTitle> Chief Executive Officer and President </signatureTitle>

</signatureData>

</edgarSubmission>

U.S. Bancorp Asset Management, Inc. – ‘TA-1/A’ on 7/21/14

On: Monday, 7/21/14, at 3:10pm ET · As of: 7/10/14 · Effective: 7/20/14 · Accession #: 1387131-14-2449 · File #: 84-06169

Previous ‘TA-1’: ‘TA-1/A’ on 3/26/12 · Latest ‘TA-1’: This Filing

Amendment to Application for Registration as a Transfer Agent — Form TA-1
Filing Table of Contents

This ‘TA-1/A’ Document is an XML Data File that may be rendered in various formats:

U.S. Bancorp Asset Management, Inc. – ‘TA-1/A’ on 7/21/14

On: Monday, 7/21/14, at 3:10pm ET · As of: 7/10/14 · Effective: 7/20/14 · Accession #: 1387131-14-2449 · File #: 84-06169

Previous ‘TA-1’: ‘TA-1/A’ on 3/26/12 · Latest ‘TA-1’: This Filing

Amendment to Application for Registration as a Transfer Agent — Form TA-1Filing Table of Contents

This ‘TA-1/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Application for Registration as a Transfer Agent — Form TA-1
Filing Table of Contents