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As filed with the Securities and Exchange Commission on April 27, 2001
Registration No.
333-
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Form S-3
REGISTRATION STATEMENT
Under
THE SECURITIES ACT OF 1933
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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
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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
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(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.
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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
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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
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Delbert W. Johnson
/s/ Joel W. Johnson* Director April , 2001
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Joel W. Johnson
/s/ Jerry W. Levin* Director April , 2001
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Jerry W. Levin
/s/ Sheldon B. Lubar* Director April , 2001
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Sheldon B. Lubar
/s/Frank Lyon, Jr.* Director April , 2001
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Frank Lyon, Jr.
/s/Daniel F. McKeithan, Jr.* Director April , 2001
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Daniel F. McKeithan, Jr.
/s/David B. O'Maley* Director April , 2001
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David B. O'Maley
/s/O'dell Owens, M.D., M.P.H.* Director April , 2001
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O'dell M. Owens, M.D., M.P.H.
/s/Thomas E. Petry* Director April , 2001
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Thomas E. Petry
/s/ Richard G. Reiten* Director April , 2001
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Richard G. Reiten
/s/ S. Walter Richey* Director April , 2001
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S. Walter Richey
/s/Warren R. Staley* Director April , 2001
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Warren R. Staley
/s/Patrick T. Stokes* Director April , 2001
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Patrick T. Stokes
/s/ John J. Stollenwerk * Director April , 2001
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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
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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