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State Street Corp – ‘10-K’ for 12/31/16 – ‘EX-32’

On:  Thursday, 2/16/17, at 5:33pm ET   ·   As of:  2/17/17   ·   For:  12/31/16   ·   Accession #:  93751-17-249   ·   File #:  1-07511

Previous ‘10-K’:  ‘10-K’ on 2/19/16 for 12/31/15   ·   Next:  ‘10-K/A’ on 3/27/17 for 12/31/16   ·   Latest:  ‘10-K’ on 2/15/24 for 12/31/23   ·   6 References:   

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

 2/17/17  State Street Corp                 10-K       12/31/16  160:49M

Annual Report   —   Form 10-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   3.50M 
 2: EX-3.1      Articles of Incorporation/Organization or Bylaws    HTML    928K 
 4: EX-10.10    Material Contract                                   HTML    166K 
 5: EX-10.13    Material Contract                                   HTML     46K 
 6: EX-10.14    Material Contract                                   HTML     52K 
 7: EX-10.19    Material Contract                                   HTML     63K 
 3: EX-10.2     Material Contract                                   HTML    263K 
 9: EX-21       Subsidiaries List                                   HTML     47K 
10: EX-23       Consent of Experts or Counsel                       HTML     43K 
 8: EX-12       Statement re: Computation of Ratios                 HTML    100K 
11: EX-31.1     Certification -- §302 - SOA'02                      HTML     49K 
12: EX-31.2     Certification -- §302 - SOA'02                      HTML     49K 
13: EX-32       Certification -- §906 - SOA'02                      HTML     45K 
20: R1          Document And Entity Information                     HTML     70K 
21: R2          Consolidated Statement of Income                    HTML    139K 
22: R3          Consolidated Statement of Comprehensive Income      HTML     70K 
23: R4          Consolidated Statement of Comprehensive Income      HTML     56K 
                (Parenthetical)                                                  
24: R5          Consolidated Statement of Condition                 HTML    153K 
25: R6          Consolidated Statement of Condition                 HTML     83K 
                (Parenthetical)                                                  
26: R7          Consolidated Statement of Changes In Shareholders'  HTML    106K 
                Equity                                                           
27: R8          Consolidated Statement of Changes In Shareholders'  HTML     48K 
                Equity (Parenthetical)                                           
28: R9          Consolidated Statement of Cash Flows                HTML    164K 
29: R10         Summary of Significant Accounting Policies          HTML    126K 
30: R11         Fair Value                                          HTML    784K 
31: R12         Investment Securities                               HTML    778K 
32: R13         Loans and Leases                                    HTML    197K 
33: R14         Goodwill and Other Intangible Assets                HTML    152K 
34: R15         Other Assets                                        HTML     65K 
35: R16         Deposits                                            HTML     47K 
36: R17         Short-Term Borrowings                               HTML    107K 
37: R18         Long-Term Debt                                      HTML    153K 
38: R19         Derivative Financial Instruments                    HTML    327K 
39: R20         Offsetting Arrangements                             HTML    275K 
40: R21         Commitments and Guarantees                          HTML     72K 
41: R22         Contingencies                                       HTML     64K 
42: R23         Variable Interest Entities                          HTML     58K 
43: R24         Shareholders' Equity                                HTML    238K 
44: R25         Regulatory Capital                                  HTML    243K 
45: R26         Net Interest Revenue                                HTML     81K 
46: R27         Equity-Based Compensation                           HTML    128K 
47: R28         Employee Benefits                                   HTML     52K 
48: R29         Occupancy Expense and Information Systems and       HTML    127K 
                Communications Expense                                           
49: R30         Expenses                                            HTML    126K 
50: R31         Income Taxes (Notes)                                HTML    142K 
51: R32         Earnings Per Common Share                           HTML     78K 
52: R33         Line of Business Information                        HTML    190K 
53: R34         Non-U.S. Activities                                 HTML     67K 
54: R35         Parent Company Financial Statements                 HTML    148K 
55: R36         Summary of Significant Accounting Policies          HTML    125K 
                (Policies)                                                       
56: R37         Summary of Significant Accounting Policies          HTML     80K 
                (Tables)                                                         
57: R38         Fair Value (Tables)                                 HTML    816K 
58: R39         Investment Securities (Tables)                      HTML    753K 
59: R40         Loans and Leases (Tables)                           HTML    194K 
60: R41         Goodwill and Other Intangible Assets (Tables)       HTML    150K 
61: R42         Other Assets (Tables)                               HTML     65K 
62: R43         Short-Term Borrowings (Tables)                      HTML    102K 
63: R44         Long-Term Debt (Tables)                             HTML    149K 
64: R45         Derivative Financial Instruments (Tables)           HTML    310K 
65: R46         Offsetting Arrangements (Tables)                    HTML    273K 
66: R47         Commitments and Guarantees (Tables)                 HTML     67K 
67: R48         Shareholders' Equity (Tables)                       HTML    243K 
68: R49         Regulatory Capital (Tables)                         HTML    236K 
69: R50         Net Interest Revenue (Tables)                       HTML     81K 
70: R51         Equity-Based Compensation (Tables)                  HTML    115K 
71: R52         Occupancy Expense and Information Systems and       HTML     65K 
                Communications Expense (Tables)                                  
72: R53         Expenses (Tables)                                   HTML     98K 
73: R54         Income Taxes (Tables)                               HTML    138K 
74: R55         Earnings Per Common Share (Tables)                  HTML     75K 
75: R56         Line of Business Information (Tables)               HTML    174K 
76: R57         Non-U.S. Activities (Tables)                        HTML     64K 
77: R58         Parent Company Financial Statements (Tables)        HTML    148K 
78: R59         Summary of Significant Accounting Policies - Basis  HTML     51K 
                of Presentation (Details)                                        
79: R60         Summary of Significant Accounting Policies - New    HTML     57K 
                Accounting Pronouncement (Details)                               
80: R61         Fair Value - Narrative (Details)                    HTML     50K 
81: R62         Fair Value - Schedule of Fair Value Measurements    HTML    279K 
                on a Recurring Basis (Details)                                   
82: R63         Fair Value - Schedule of Fair Value Measurements,   HTML    143K 
                Assets, Using Significant Unobservable Inputs                    
                (Details)                                                        
83: R64         Fair Value - Fair Value Inputs, Assets and          HTML     80K 
                Liabilities, Quantitative Information (Details)                  
84: R65         Fair Value - Carrying Value and Estimated Fair      HTML    112K 
                Value of Financial Instruments (Details)                         
85: R66         Investment Securities - Narrative (Details)         HTML     96K 
86: R67         Investment Securities - Schedule of Marketable      HTML    157K 
                Securities (Details)                                             
87: R68         Investment Securities - Schedule of Gross Pre-Tax   HTML    175K 
                Unrealized Losses on Investment Securities                       
                (Details)                                                        
88: R69         Investment Securities - Schedule of Contractual     HTML    152K 
                Maturities of Debt Securities (Details)                          
89: R70         Investment Securities - Gains and Losses Related    HTML     63K 
                to Investment Securities (Details)                               
90: R71         Investment Securities - Schedule of Credit-Related  HTML     54K 
                Loss Activity Recognized In Earnings (Details)                   
91: R72         Loans and Leases - Narrative (Details)              HTML     67K 
92: R73         Loans and Leases - Net Loans (Details)              HTML     72K 
93: R74         Loans and Leases - Schedule of Investment in        HTML     56K 
                Leveraged Receivables (Details)                                  
94: R75         Loans and Leases - Recorded Investment in Each      HTML     73K 
                Class of Total Loans and Leases by Credit Quality                
                Indicator (Details)                                              
95: R76         Loans and Leases - Schedule of Allowance for Loan   HTML     69K 
                Losses (Details)                                                 
96: R77         Loans and Leases - Impaired Loans (Details)         HTML     64K 
97: R78         Loans and Leases - Schedule of Activity In The      HTML     51K 
                Allowance For Loan Losses (Details)                              
98: R79         Goodwill and Other Intangible Assets - Changes In   HTML     60K 
                The Carrying Amount Of Goodwill (Details)                        
99: R80         Goodwill and Other Intangible Assets - Changes In   HTML     62K 
                The Carrying Amount Of Other Intangible Assets                   
                (Details)                                                        
100: R81         Goodwill and Other Intangible Assets - Gross        HTML     67K  
                Carrying Amount, Accumulated Amortization And Net                
                Carrying Amount Of Other Intangible Assets                       
                (Details)                                                        
101: R82         Goodwill and Other Intangible Assets -              HTML     62K  
                Amortization of Finite Lived Intangible Assets                   
                (Details)                                                        
102: R83         Other Assets (Details)                              HTML     73K  
103: R84         Deposits - Narrative (Details)                      HTML     46K  
104: R85         Short-Term Borrowings - Narrative (Details)         HTML     57K  
105: R86         Short-Term Borrowings - Outstanding and             HTML     68K  
                weighted-average interest rates of short-term                    
                borrowings (Details)                                             
106: R87         Short-Term Borrowings - Overnight maturity          HTML     48K  
                (Details)                                                        
107: R88         Long-Term Debt - Schedule of Long Term Debt         HTML    121K  
                (Details)                                                        
108: R89         Long-Term Debt - Narrative (Details)                HTML     61K  
109: R90         Derivative Financial Instruments - Narrative        HTML     67K  
                (Details)                                                        
110: R91         Derivative Financial Instruments - Schedule of      HTML     67K  
                Interest Rate Derivatives (Details)                              
111: R92         Derivative Financial Instruments - Schedule of      HTML     80K  
                Outstanding Hedges (Notional Amount) (Details)                   
112: R93         Derivative Financial Instruments - Notional Amount  HTML     56K  
                of Interest Rate Swap Agreements Designated as                   
                Fair Value and Cash Flow Hedges (Details)                        
113: R94         Derivative Financial Instruments - Contractual and  HTML     47K  
                Weighted-Average Interest Rates, Which Include the               
                Effects of Hedges Related to Financial Instruments               
                (Details)                                                        
114: R95         Derivative Financial Instruments - Schedule of The  HTML     76K  
                Fair Values of Derivative Financial Instruments                  
                (Details)                                                        
115: R96         Derivative Financial Instruments - Impact of        HTML     65K  
                Derivatives on Consolidated Statement of Income                  
                (Details)                                                        
116: R97         Derivative Financial Instruments - Schedule of      HTML     89K  
                Differences Between the Gains (Losses) on the                    
                Derivative and The Gains (Losses) on the Hedged                  
                Item (Details)                                                   
117: R98         Offsetting Arrangements - Narrative (Details)       HTML     46K  
118: R99         Offsetting Arrangements - Assets With Offsetting    HTML    103K  
                Arrangements (Details)                                           
119: R100        Offsetting Arrangements - Liabilities With          HTML    103K  
                Offsetting Arrangements (Details)                                
120: R101        Offsetting Arrangements - Repo, Sec Lending         HTML     83K  
                Transactions Maturity By Category (Details)                      
121: R102        Commitments and Guarantees - Narrative (Details)    HTML     51K  
122: R103        Commitments and Guarantees - Contractual Amounts    HTML     49K  
                of Credit-Related Off-Balance Sheet Financial                    
                Instruments (Details)                                            
123: R104        Commitments and Guarantees - Schedule Of            HTML     50K  
                Repurchase Agreements (Details)                                  
124: R105        Contingencies - Narrative (Details)                 HTML     75K  
125: R106        Variable Interest Entities (Details)                HTML     66K  
126: R107        Shareholders' Equity - Schedule of Preferred        HTML     82K  
                Shares Outstanding (Details)                                     
127: R108        Shareholders' Equity - Schedule of Dividends        HTML     93K  
                Declared (Details)                                               
128: R109        Shareholders' Equity - Schedule of Shares           HTML     60K  
                Repurchase Plans (Details)                                       
129: R110        Shareholders' Equity - Schedule of Accumulated      HTML     74K  
                Other Comprehensive (Loss) Income (Details)                      
130: R111        Shareholders' Equity - Accumulated Other            HTML     82K  
                Comprehensive Income by Component (Details)                      
131: R112        Shareholders' Equity - Adjustments to Accumulated   HTML     89K  
                Other Comprehensive Income (Details)                             
132: R113        Regulatory Capital (Details)                        HTML    143K  
133: R114        Net Interest Revenue - Components of Interest       HTML     76K  
                Revenue and Interest Expenses (Details)                          
134: R115        Equity-Based Compensation - Narrative (Details)     HTML    108K  
135: R116        Equity-Based Compensation - Stock Options and       HTML     73K  
                Stock Appreciation Rights (Details)                              
136: R117        Equity-Based Compensation - Restricted Stock        HTML     62K  
                Awards (Details)                                                 
137: R118        Equity-Based Compensation - Deferred Stock Awards   HTML     68K  
                (Details)                                                        
138: R119        Equity-Based Compensation - Performance Awards      HTML     66K  
                (Details)                                                        
139: R120        Employee Benefits - Narrative (Details)             HTML     64K  
140: R121        Occupancy Expense and Information Systems and       HTML     71K  
                Communications Expense - Narrative (Details)                     
141: R122        Occupancy Expense and Information Systems and       HTML     96K  
                Communications Expense - Summary of Future Minimum               
                Lease Payments Under Non-Cancelable Capital and                  
                Operating Leases (Details)                                       
142: R123        Expenses - Schedule of Expenses (Details)           HTML     54K  
143: R124        Expenses - Narrative (Details)                      HTML     51K  
144: R125        Expenses - Restructuring Reserve (Details)          HTML     70K  
145: R126        Income Taxes - Narrative (Details)                  HTML     79K  
146: R127        Income Taxes - Schedule of Components of Income     HTML     73K  
                Tax Expense (Details)                                            
147: R128        Income Taxes - Schedule of Components of Deferred   HTML     81K  
                Tax Liabilities and Assets (Details)                             
148: R129        Income Taxes - Schedule of Reconciliation of the    HTML     75K  
                U.S. Statutory Income Tax Rate to the Effective                  
                Tax Rate (Details)                                               
149: R130        Income Taxes - Summary of Activity Related to       HTML     52K  
                Unrecognized Tax Benefits (Details)                              
150: R131        Earnings Per Common Share (Details)                 HTML     74K  
151: R132        Line of Business Information - Narrative (Details)  HTML     73K  
152: R133        Line of Business Information - Summary of Line of   HTML     98K  
                Business (Details)                                               
153: R134        Non-U.S. Activities - Narrative (Details)           HTML     52K  
154: R135        Non-U.S. Activities - Schedule Of Results From      HTML     53K  
                Non-U.S. Operations (Details)                                    
155: R136        Parent Company Financial Statements - Statement of  HTML     74K  
                Income (Details)                                                 
156: R137        Parent Company Financial Statements - Statement of  HTML     91K  
                Condition (Details)                                              
157: R138        Parent Company Financial Statements - Statement of  HTML     98K  
                Cash Flows (Details)                                             
159: XML         IDEA XML File -- Filing Summary                      XML    293K  
158: EXCEL       IDEA Workbook of Financial Reports                  XLSX    230K  
14: EX-101.INS  XBRL Instance -- stt-20161231                        XML  12.99M 
16: EX-101.CAL  XBRL Calculations -- stt-20161231_cal                XML    641K 
17: EX-101.DEF  XBRL Definitions -- stt-20161231_def                 XML   1.73M 
18: EX-101.LAB  XBRL Labels -- stt-20161231_lab                      XML   3.66M 
19: EX-101.PRE  XBRL Presentations -- stt-20161231_pre               XML   2.39M 
15: EX-101.SCH  XBRL Schema -- stt-20161231                          XSD    410K 
160: ZIP         XBRL Zipped Folder -- 0000093751-17-000249-xbrl      Zip    733K  


‘EX-32’   —   Certification — §906 – SOA’02


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EXHIBIT 32
SECTION 1350 CERTIFICATIONS
To my knowledge, this Report on Form 10-Q for the period ended December 31, 2016 fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, and the information contained in this Report fairly presents, in all material respects, the financial condition and results of operations of State Street Corporation.
 
 
 
 
 
 
Date:
 
By:
/s/  JOSEPH L. HOOLEY        
 
 
 
 
Joseph L. Hooley,
 
 
 
 
Chairman and Chief Executive Officer
 
 
 
 
 
Date:
 
By:
/s/  MICHAEL W. BELL        
 
 
 
 
Michael W. Bell,
 
 
 
 
Executive Vice President and Chief Financial Officer






Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed as of:2/17/173,  4
Filed on:2/16/17
For Period end:12/31/1610-K/A,  11-K,  13F-HR,  5
 List all Filings 


6 Subsequent Filings that Reference this Filing

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

 2/15/24  State Street Corp.                10-K       12/31/23  165:106M
 2/16/23  State Street Corp.                10-K       12/31/22  162:37M
 2/17/22  State Street Corp.                10-K       12/31/21  163:43M
 2/19/21  State Street Corp.                10-K       12/31/20  166:59M
 6/07/17  SEC                               UPLOAD10/02/17    1:35K  State Street Corp.
 5/04/17  SEC                               UPLOAD10/02/17    1:59K  State Street Corp.
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Filing Submission 0000093751-17-000249   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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