Form 8-K State Street Corp

Current report, items 5.02 and 9.01

Published: 2019-09-20 08:06:14
Submitted: 2019-09-20
Period Ending In: 2019-09-19
a8-k92019.htm 8-K


>
false0000093751 0000093751 2019-09-19 2019-09-19 0000093751 stt:SeriesDPreferredStockDepositoryShareMember 2019-09-19 2019-09-19 0000093751 us-gaap:CommonStockMember 2019-09-19 2019-09-19 0000093751 stt:SeriesGPreferredStockDepositoryShareMember 2019-09-19 2019-09-19 0000093751 stt:SeriesEPreferredStockDepositoryShareMember 2019-09-19 2019-09-19 0000093751 stt:SeriesCPreferredStockDepositoryShareMember 2019-09-19 2019-09-19


 
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): September 19, 2019
______________________
State Street Corporation
(Exact Name of Registrant as Specified in Charter)
____________________
Massachusetts
 
001-07511
 
04-2456637
(State or Other Jurisdiction of Incorporation)
 
(Commission File Number)
 
(IRS Employer Identification Number)
 
 
 
 
 
One Lincoln Street
 
Boston
Massachusetts
02111
 
(Address of principal executive offices, and Zip Code)
 
Registrant’s telephone number, including area code:
617
786-3000
________________
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))

Securities registered pursuant to section 12(b) of the Act:
Title of each class
 
Trading Symbol(s)
 
Name of each exchange on which registered
Common stock, $1 par value per share
 
STT
 
New York Stock Exchange
 
 
 
 
 
Depositary Shares, each representing a 1/4,000th ownership interest in a share of
 
STT.PRC
 
New York Stock Exchange
Non-Cumulative Perpetual Preferred Stock, Series C, without par value per share
 
 
 
 
 
 
 
Depositary Shares, each representing a 1/4,000th ownership interest in a share of
 
STT.PRD
 
New York Stock Exchange
Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D, without par value per share
 
 
 
 
 
 
 
Depositary Shares, each representing a 1/4,000th ownership interest in a share of
 
STT.PRE
 
New York Stock Exchange
Non-Cumulative Perpetual Preferred Stock, Series E, without par value per share
 
 
 
 
 
 
 
Depositary Shares, each representing a 1/4,000th ownership interest in a share of
 
STT.PRG
 
New York Stock Exchange
Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series G, without par value per share
 
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2)
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.  ¨
 







Item 5.02.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On September 19, 2019, State Street Corporation’s Board of Directors elected Marie Chandoha as a director of the corporation. There are no arrangements or understandings between Ms. Chandoha and any other persons pursuant to which Ms. Chandoha was elected as a director of the corporation. Ms. Chandoha will be entitled to a pro rata share of the 2019-2020 $90,000 annual retainer and $195,000 stock retainer, and other director compensation arrangements under terms consistent with those previously disclosed in State Street’s definitive proxy statement for its 2019 annual meeting of shareholders and in Exhibit 10.15 to State Street’s annual report on Form 10-K for the fiscal year ended December 31, 2018. The pro-rated stock award will be based on the closing price of State Street’s common stock on the New York Stock Exchange on the date of election. Ms. Chandoha will be entitled to enter into an indemnification agreement with State Street Corporation consistent with the forms of indemnification agreement entered into by State Street’s other non-employee directors and previously disclosed in Exhibit 10.17A, to State Street’s annual report on Form 10-K for the fiscal year ended December 31, 2018.



Item 9.01.    Financial Statements and Exhibits.
(d)    Exhibits.

Exhibit No.
 
Exhibit Description
 
 
 
 
 
 
 
 
 
 
 
 
*
104
 
Cover Page Interactive Data File (formatted as Inline XBRL)

 
 
 
*
 
Submitted electronically herewith






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.

 
 
 
 
 
STATE STREET CORPORATION
 
 
 
 
 
 
 
 
 
By:
 
/s/ DAVID C. PHELAN
 
 
 
Name:
 
David C. Phelan,
 
 
 
Title:
 
Executive Vice President and General Counsel
Date:
September 20, 2019
 
 
 
 



Additional Files
FileSequenceDescriptionTypeSize
0000093751-19-000574.txt   Complete submission text file   296851
stt-20190919.xsd 2 XBRL TAXONOMY EXTENSION SCHEMA DOCUMENT EX-101.SCH 7745
stt-20190919_cal.xml 3 XBRL TAXONOMY EXTENSION CALCULATION LINKBASE DOCUMENT EX-101.CAL 1814
stt-20190919_def.xml 4 XBRL TAXONOMY EXTENSION DEFINITION LINKBASE DOCUMENT EX-101.DEF 12538
stt-20190919_lab.xml 5 XBRL TAXONOMY EXTENSION LABEL LINKBASE DOCUMENT EX-101.LAB 43919
stt-20190919_pre.xml 6 XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE DOCUMENT EX-101.PRE 21970
a8-k92019_htm.xml 16 EXTRACTED XBRL INSTANCE DOCUMENT XML 10333

© 2019 SEC.report
SEC CFR Title 17 of the Code of Federal Regulations.