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US Bancorp/DE – ‘8-K’ for 2/1/21

On:  Tuesday, 2/2/21, at 6:54am ET   ·   For:  2/1/21   ·   Accession #:  1104659-21-10506   ·   File #:  1-06880

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/02/21  US Bancorp/DE                     8-K:3,5,8,9 2/01/21   17:865K                                   Toppan Merrill/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     48K 
 2: EX-1.1      Underwriting Agreement                              HTML     41K 
 3: EX-1.2      Underwriting Agreement                              HTML    115K 
 4: EX-4.1      Instrument Defining the Rights of Security Holders  HTML     46K 
 5: EX-4.2      Instrument Defining the Rights of Security Holders  HTML     17K 
 6: EX-4.3      Instrument Defining the Rights of Security Holders  HTML    115K 
 7: EX-5.1      Opinion of Counsel re: Legality                     HTML     19K 
13: R1          Cover                                               HTML     66K 
15: XML         IDEA XML File -- Filing Summary                      XML     14K 
12: XML         XBRL Instance -- tm214004d4_8k_htm                   XML     33K 
14: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 9: EX-101.DEF  XBRL Definitions -- usb-20210201_def                 XML     80K 
10: EX-101.LAB  XBRL Labels -- usb-20210201_lab                      XML    111K 
11: EX-101.PRE  XBRL Presentations -- usb-20210201_pre               XML     77K 
 8: EX-101.SCH  XBRL Schema -- usb-20210201                          XSD     15K 
16: JSON        XBRL Instance as JSON Data -- MetaLinks               28±    37K 
17: ZIP         XBRL Zipped Folder -- 0001104659-21-010506-xbrl      Zip     89K 


‘8-K’   —   Current Report


This is an HTML Document rendered as filed.  [ Alternative Formats ]



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

 

FORM  i 8-K

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934

 

Date of Report:  i February 1, 2021

(Date of earliest event reported)

 

U.S. BANCORP

(Exact name of registrant as specified in its charter)

 

 i Delaware

(State or other jurisdiction of incorporation)

 

 

 i 1-6880  i 41-0255900
(Commission file number) (IRS Employer Identification No.)

 

 i 800 Nicollet Mall

 i Minneapolis,  i Minnesota  i 55402

(Address of principal executive offices, including zip code)

 

( i 651)  i 466-3000

(Registrant’s telephone number, including area code)

 

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:

 

 i ¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 i ¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 i ¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 i ¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading symbol Name of each exchange on which registered
 i Common Stock, $.01 par value per share  i USB  i New York Stock Exchange
 i Depositary Shares (each representing 1/100th interest in a share of Series A Non-Cumulative Perpetual Preferred Stock, par value $1.00)  i USB PrA  i New York Stock Exchange
 i Depositary Shares (each representing 1/1,000th interest in a share of Series B Non-Cumulative Perpetual Preferred Stock, par value $1.00)  i USB PrH  i New York Stock Exchange
 i Depositary Shares (each representing 1/1,000th interest in a share of Series F Non-Cumulative Perpetual Preferred Stock, par value $1.00)  i USB PrM  i New York Stock Exchange
 i Depositary Shares (each representing 1/1,000th interest in a share of Series K Non-Cumulative Perpetual Preferred Stock, par value $1.00)  i USB PrP  i New York Stock Exchange
 i Depositary Shares (each representing 1/1,000th interest in a share of Series L Non-Cumulative Perpetual Preferred Stock, par value $1.00)  i USB PrQ  i New York Stock Exchange
 i 0.850% Medium-Term Notes, Series X (Senior), due June 7, 2024  i USB/24B  i New York Stock Exchange

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

 i ¨Emerging growth company

 

¨If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

 

 

 

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Item 3.03. Material Modification to Rights of Security Holders.

 

The information set forth in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference.

 

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

 

On February 1, 2021, U.S. Bancorp, a Delaware corporation (the “Company”), filed a Certificate of Designations for the purpose of amending its Certificate of Incorporation to fix the designations, preferences, limitations and relative rights of its Series M Non-Cumulative Perpetual Preferred Stock, par value $1.00 per share and a liquidation preference of $25,000 per share (the “Preferred Stock”). A copy of the Certificate of Designations is attached hereto as Exhibit 4.1 and is incorporated herein by reference.

 

Item 8.01. Other Events.

 

On February 2, 2021, the Company closed the sale of 30,000,000 depositary shares (the “Depositary Shares”), with each Depositary Share representing ownership of 1/1,000th of a share of the Company’s Preferred Stock, which were registered pursuant to a registration statement on Form S-3 (SEC File No. 333-237082), which was automatically effective on March 11, 2020 (the “Registration Statement”). The following documents are being filed with this report on Form 8-K and shall be incorporated by reference into the Registration Statement: (i) Underwriting Agreement, dated January 26, 2021, between the Company and Morgan Stanley & Co. LLC, U.S. Bancorp Investments, Inc., BofA Securities, Inc., RBC Capital Markets, LLC, UBS Securities LLC, Wells Fargo Securities, LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and TD Securities (USA) LLC, as representatives of the underwriters named in Schedule I thereto, which incorporates by reference the U.S. Bancorp Underwriting Agreement Standard Provisions (Preferred Stock, Which May Be Represented by Depositary Shares) (January 26, 2021); (ii) Certificate of Designations of the Company filed with the Delaware Secretary of State on February 1, 2021; (iii) form of certificate representing the Company’s Preferred Stock; (iv) Deposit Agreement, dated February 2, 2021, among U.S. Bancorp, U.S. Bank National Association and the holders from time to time of the depositary receipts described therein; (v) form of depositary receipt representing the Depositary Shares; and (vi) validity opinion with respect to the Depositary Shares and the Preferred Stock.

 

 C: 

 C: 2

 

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.
   
1.1 Underwriting Agreement, dated January 26, 2021, between the Company and Morgan Stanley & Co. LLC, U.S. Bancorp Investments, Inc., BofA Securities, Inc., RBC Capital Markets, LLC, UBS Securities LLC, Wells Fargo Securities, LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and TD Securities (USA) LLC, as representatives of the underwriters named in Schedule I thereto.
   
1.2 U.S. Bancorp Underwriting Agreement Standard Provisions (Preferred Stock, Which May Be Represented by Depositary Shares) (January 26, 2021).
   
4.1 Certificate of Designations of U.S. Bancorp with respect to Series M Non-Cumulative Perpetual Preferred Stock filed with the Delaware Secretary of State on February 1, 2021.
   
4.2 Form of certificate representing the Series M Non-Cumulative Perpetual Preferred Stock.
   
4.3 Deposit Agreement, dated February 2, 2021, among U.S. Bancorp, U.S. Bank National Association and the holders from time to time of the depositary receipts described therein.
   
4.4 Form of depositary receipt (included as part of Exhibit 4.3).
   
5.1 Validity opinion of Mayer Brown LLP.
   
23.1 Consent of Mayer Brown LLP (included as part of Exhibit 5.1).
   
104 Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

 C: 

3

 

 

SIGNATURES

 

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

 

  U.S. BANCORP
   
Date: February 2, 2021 By: /s/ James L. Chosy
  Name: James L. Chosy
  Title: Senior Executive Vice President and General Counsel

 

 C: 

4

 

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Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
6/7/24
Filed on:2/2/21
For Period end:2/1/21SC 13G/A
1/26/214,  424B3,  FWP
3/11/20424B5,  8-K,  S-3ASR
 List all Filings 


1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/02/21  US Bancorp/DE                     8-A12B                 1:16K                                    Toppan Merrill/FA
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