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State Street Corp – ‘10-K’ for 12/31/12 – ‘EX-31.1’

On:  Friday, 2/22/13, at 4:13pm ET   ·   For:  12/31/12   ·   Accession #:  93751-13-40   ·   File #:  1-07511

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

 2/22/13  State Street Corp                 10-K       12/31/12  166:50M

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   3.01M 
 2: EX-10.1     Material Contract                                   HTML    128K 
 5: EX-10.10    Material Contract                                   HTML    183K 
 6: EX-10.12    Material Contract                                   HTML     98K 
 7: EX-10.13    Material Contract                                   HTML     49K 
 3: EX-10.2     Material Contract                                   HTML    263K 
 4: EX-10.7     Material Contract                                   HTML    185K 
 9: EX-21       Subsidiaries List                                   HTML     51K 
10: EX-23       Consent of Experts or Counsel                       HTML     47K 
 8: EX-12       Statement re: Computation of Ratios                 HTML    107K 
11: EX-31.1     Certification -- §302 - SOA'02                      HTML     52K 
12: EX-31.2     Certification -- §302 - SOA'02                      HTML     53K 
13: EX-32       Certification -- §906 - SOA'02                      HTML     49K 
113: R1          Document And Entity Information                     HTML     75K  
82: R2          Consolidated Statement Of Income                    HTML    177K 
104: R3          Consolidated Statement of Comprehensive Income      HTML     82K  
118: R4          Consolidated Statement of Comprehensive Income      HTML     61K  
                (Parenthetical)                                                  
151: R5          Consolidated Statement Of Condition                 HTML    182K  
87: R6          Consolidated Statement Of Condition                 HTML     79K 
                (Parenthetical)                                                  
103: R7          Consolidated Statement Of Changes In Shareholders'  HTML    132K  
                Equity                                                           
75: R8          Consolidated Statement Of Changes In Shareholders'  HTML     53K 
                Equity (Parenthetical)                                           
60: R9          Consolidated Statement Of Cash Flows                HTML    216K 
153: R10         Summary Of Significant Accounting Policies          HTML     99K  
120: R11         Acquisitions                                        HTML     61K  
119: R12         Fair Value                                          HTML   1.00M  
128: R13         Investment Securities                               HTML    647K  
129: R14         Loans And Leases                                    HTML    275K  
125: R15         Goodwill And Other Intangible Assets                HTML    136K  
131: R16         Other Assets                                        HTML     67K  
106: R17         Deposits                                            HTML     61K  
115: R18         Short-Term Borrowings                               HTML    129K  
123: R19         Long-Term Debt                                      HTML     93K  
165: R20         Commitments And Contingencies                       HTML     97K  
143: R21         Variable Interest Entities                          HTML     61K  
96: R22         Shareholders' Equity                                HTML    102K 
122: R23         Equity-Based Compensation                           HTML    137K  
100: R24         Regulatory Matters                                  HTML    155K  
48: R25         Derivative Financial Instruments                    HTML    294K 
145: R26         Net Interest Revenue                                HTML     84K  
158: R27         Employee Benefits                                   HTML    545K  
69: R28         Occupancy Expense And Information Systems And       HTML     80K 
                Communications Expense                                           
68: R29         Acquisition and Restructuring Costs                 HTML    108K 
73: R30         Other Expenses                                      HTML     53K 
74: R31         Income Taxes                                        HTML    148K 
76: R32         Earnings Per Common Share                           HTML     84K 
32: R33         Line of Business Information                        HTML    227K 
140: R34         Non-U.S. Activities                                 HTML     80K  
93: R35         Parent Company Financial Statements                 HTML    162K 
97: R36         Summary Of Significant Accounting Policies          HTML    181K 
                (Policy)                                                         
54: R37         Fair Value (Tables)                                 HTML    993K 
164: R38         Investment Securities (Tables)                      HTML    632K  
20: R39         Loans and Leases (Tables)                           HTML    271K 
79: R40         Goodwill And Other Intangible Assets (Tables)       HTML    132K 
149: R41         Other Assets (Tables)                               HTML     67K  
51: R42         Deposits (Tables)                                   HTML     59K 
67: R43         Short-Term Borrowings (Tables)                      HTML    128K 
72: R44         Long-Term Debt (Tables)                             HTML     81K 
83: R45         Commitments And Contingencies (Tables)              HTML     68K 
31: R46         Shareholders' Equity (Tables)                       HTML     77K 
59: R47         Equity-Based Compensation (Tables)                  HTML    122K 
24: R48         Regulatory Matters (Tables)                         HTML    145K 
147: R49         Derivative Financial Instruments (Tables)           HTML    280K  
50: R50         Net Interest Revenue (Tables)                       HTML     83K 
142: R51         Employee Benefits (Tables)                          HTML    536K  
55: R52         Occupancy Expense And Information Systems And       HTML     69K 
                Communications Expense (Tables)                                  
80: R53         Acquisition and Restructuring Costs (Tables)        HTML     94K 
23: R54         Income Taxes (Tables)                               HTML    131K 
28: R55         Earnings Per Common Share (Tables)                  HTML     82K 
71: R56         Line of Business Information (Tables)               HTML    218K 
39: R57         Non-U.S. Activities (Tables)                        HTML     77K 
154: R58         Parent Company Financial Statements (Tables)        HTML    162K  
91: R59         Summary Of Significant Accounting Policies          HTML     54K 
                (Details)                                                        
126: R60         Acquisitions (Details)                              HTML     70K  
58: R61         Fair Value Fair Value (Narrative) (Details)         HTML     53K 
63: R62         Fair Value (Schedule Of Fair Value Measurements On  HTML    216K 
                A Recurring Basis) (Details)                                     
137: R63         Fair Value (Schedule Of Fair Value Measurements,    HTML    151K  
                Assets, Using Significant Unobservable Inputs)                   
                (Details)                                                        
132: R64         Fair Value Fair Value (Schedule of Fair Value       HTML     94K  
                Measurements, Liabilities, Using Significant                     
                Unobservable Inputs) (Details)                                   
95: R65         Fair Value (Level 3 Total Realized And Unrealized   HTML     56K 
                Gains And Losses Recorded In Revenue) (Details)                  
135: R66         Fair Value Fair Value (Fair Value Inputs, Assets    HTML     99K  
                and Liabilities, Quantitative Information)                       
                (Details)                                                        
56: R67         Fair Value Fair Value (Schedule of Availability of  HTML    108K 
                Significant Unobservable Inputs by Balance Sheet                 
                Classification) (Details)                                        
101: R68         Fair Value Fair Value (Carrying Value and           HTML    122K  
                Estimated Fair Value of Financial Instruments)                   
                (Details)                                                        
157: R69         Fair Value (Reported Amounts And Estimated Fair     HTML     56K  
                Values For Financial Instruments) (Details)                      
26: R70         Investment Securities (Narrative) (Details)         HTML    120K 
47: R71         Investment Securities (Schedule Of Marketable       HTML    146K 
                Securities) (Details)                                            
81: R72         Investment Securities (Schedule Of Gross Pre-Tax    HTML    151K 
                Unrealized Losses On Investment Securities)                      
                (Details)                                                        
37: R73         Investment Securities (Schedule Of Contractual      HTML    116K 
                Maturities Of Debt Securities) (Details)                         
163: R74         Investment Securities (Gains And Losses Related To  HTML     80K  
                Investment Securities) (Details)                                 
52: R75         Investment Securities (Schedule Of Credit-Related   HTML     64K 
                Loss Activity Recognized In Earnings) (Details)                  
42: R76         Loans and Leases (Narrative) (Details)              HTML     64K 
46: R77         Loans and Leases (Net Loans) (Details)              HTML     80K 
29: R78         Loans and Leases Loans and Leases (Components Of    HTML     64K 
                The Net Investment In Leveraged Leases) (Details)                
33: R79         Loans and Leases (Recorded Investment In Each       HTML     81K 
                Class Of Total Loans And Leases By Credit Quality                
                Indicator) (Details)                                             
116: R80         Loans and Leases (Schedule Of Allowance For Loan    HTML     63K  
                Losses) (Details)                                                
44: R81         Loans and Leases (Impaired Loans) (Details)         HTML     76K 
155: R82         Loans and Leases (Financing Receivables On          HTML     49K  
                Non-Accrual Status) (Details)                                    
77: R83         Loans and Leases (Schedule Of Activity In The       HTML     64K 
                Allowance For Loan Losses) (Details)                             
124: R84         Goodwill and Other Intangible Assets (Narrative)    HTML     63K  
                (Details)                                                        
134: R85         Goodwill And Other Intangible Assets (Changes In    HTML     66K  
                The Carrying Amount Of Goodwill) (Details)                       
43: R86         Goodwill And Other Intangible Assets (Changes In    HTML     65K 
                The Carrying Amount Of Other Intangible Assets)                  
                (Details)                                                        
45: R87         Goodwill And Other Intangible Assets (Gross         HTML     61K 
                Carrying Amount, Accumulated Amortization And Net                
                Carrying Amount Of Other Intangible Assets)                      
                (Details)                                                        
152: R88         Other Assets (Components Of Other Assets)           HTML     83K  
                (Details)                                                        
38: R89         Deposits (Narrative) (Details)                      HTML     55K 
117: R90         Deposits (Scheduled Maturities Of Aggregate U.S.    HTML     62K  
                And Non-U.S. Time Deposits) (Details)                            
109: R91         Deposits (Scheduled Maturities Of U.S. Time         HTML     55K  
                Deposits) (Details)                                              
138: R92         Short-Term Borrowings (Narrative) (Details)         HTML     58K  
108: R93         Short-Term Borrowings (Primary Components Of        HTML     70K  
                Short-term Borrowings) (Details)                                 
88: R94         Short-Term Borrowings (Securities Sold Under        HTML     54K 
                Repurchase Agreements) (Details)                                 
146: R95         Short-Term Borrowings (U.S. Government Securities   HTML     52K  
                And Related Repurchase Agreements Including                      
                Accrued Interest) (Details)                                      
84: R96         Long-Term Debt (Narrative) (Details)                HTML    116K 
53: R97         Long-Term Debt (Long-Term Debt) (Details)           HTML     73K 
98: R98         Commitments And Contingencies (Narrative)           HTML     92K 
                (Details)                                                        
92: R99         Commitments And Contingencies Commitments And       HTML     53K 
                Contingencies (Contractual Amounts of                            
                Credit-Related Off-Balance Sheet Financial                       
                Instruments) (Details)                                           
70: R100        Commitments And Contingencies (Schedule Of          HTML     54K 
                Repurchase Agreements) (Details)                                 
166: R101        Variable Interest Entities (Details)                HTML     57K  
136: R102        Shareholders' Equity (Narrative) (Details)          HTML    124K  
107: R103        Shareholders' Equity (Schedule Of Accumulated       HTML     87K  
                Other Comprehensive (Loss) Income) (Details)                     
30: R104        Equity-Based Compensation (Narrative) (Details)     HTML    100K 
148: R105        Equity-Based Compensation (Stock Options And Stock  HTML     86K  
                Appreciation Rights Activity) (Details)                          
156: R106        Equity-Based Compensation (Restricted Stock Awards  HTML     75K  
                Activity) (Details)                                              
150: R107        Equity-Based Compensation (Deferred Stock Awards    HTML     78K  
                Activity) (Details)                                              
102: R108        Equity-Based Compensation (Performance Awards       HTML     75K  
                Activity) (Details)                                              
40: R109        Regulatory Matters (Narrative) (Details)            HTML     64K 
127: R110        Regulatory Matters (Regulatory Capital Ratios And   HTML    122K  
                Related Amounts) (Details)                                       
57: R111        Derivative Financial Instruments (Narrative)        HTML     71K 
                (Details)                                                        
22: R112        Derivative Financial Instruments (Schedule Of       HTML     64K 
                Outstanding Hedges (Notional Amount)) (Details)                  
86: R113        Derivative Financial Instruments (Notional Amount   HTML     59K 
                Of Interest Rate Swap Agreements Designated As                   
                Fair Value And Cash Flow Hedges) (Details)                       
78: R114        Derivative Financial Instruments (Contractual And   HTML     49K 
                Weighted-Average Interest Rates, Which Include The               
                Effects Of Hedges Related To Financial                           
                Instruments) (Details)                                           
144: R115        Derivative Financial Instruments (Schedule Of The   HTML     67K  
                Fair Values Of Derivative Financial Instruments)                 
                (Details)                                                        
62: R116        Derivative Financial Instruments (Impact Of         HTML     76K 
                Derivatives On Consolidated Statement Of Income)                 
                (Details)                                                        
160: R117        Derivative Financial Instruments (Schedule Of       HTML     63K  
                Differences Between The Gains (Losses) On The                    
                Derivative And The Gains (Losses) On The Hedged                  
                Item) (Details)                                                  
34: R118        Net Interest Revenue (Components Of Interest        HTML     88K 
                Revenue And Interest Expenses) (Details)                         
112: R119        Employee Benefits (Narrative) (Details)             HTML     94K  
133: R120        Employee Benefits (Combined Information For The     HTML    141K  
                U.S. And Non-U.S. Defined Benefit Plans And                      
                Post-Retirement Plan) (Details)                                  
25: R121        Employee Benefits (Amounts Recognized In The        HTML    112K 
                Consolidated Statement Of Condition) (Details)                   
110: R122        Employee Benefits (Expected Benefit Payments)       HTML     64K  
                (Details)                                                        
99: R123        Employee Benefits (Plan's Assets Measured At Fair   HTML    115K 
                Value On A Recurring Basis) (Details)                            
27: R124        Employee Benefits (Fair Value Measurements Using    HTML     64K 
                Significant Unobservable Inputs) (Details)                       
114: R125        Employee Benefits (Defined Pension Benefits In      HTML    123K  
                Excess Of Qualified Plan Limits, Information For                 
                The SERPs) (Details)                                             
162: R126        Employee Benefits (The Actuarially Determined       HTML     91K  
                Expense For U.S. And Non-U.S. Defined Benefit                    
                Plans, Post-Retirement Plan And SERPs) (Details)                 
35: R127        Occupancy Expense And Information Systems And       HTML     85K 
                Communications Expense (Narrative) (Details)                     
64: R128        Occupancy Expense And Information Systems And       HTML    114K 
                Communications Expense (Summary of Future Minimum                
                Lease Payments Under Non-Cancelable Capital and                  
                Operating Leases) (Details)                                      
139: R129        Acquisition and Restructuring Costs (Narrative)     HTML     78K  
                (Details)                                                        
161: R130        Acquisition and Restructuring Costs (Costs Related  HTML     54K  
                To Acquisition And Restructuring) (Details)                      
94: R131        Acquisition and Restructuring Costs (Activity       HTML     73K 
                Related To Restructuring-Related Accruals)                       
                (Details)                                                        
111: R132        Other Expenses (Details)                            HTML     70K  
36: R133        Income Taxes (Narrative) (Details)                  HTML     78K 
41: R134        Income Taxes (Schedule Of Components Of Income Tax  HTML     87K 
                Expense) (Details)                                               
85: R135        Income Taxes (Schedule Of Components Of Deferred    HTML     99K 
                Tax Liabilities and Assets) (Details)                            
66: R136        Income Taxes (Schedule Of Reconciliation Of The     HTML     75K 
                U.S. Statutory Income Tax Rate To The Effective                  
                Tax Rate) (Details)                                              
130: R137        Income Taxes (Summary Of Activity Related To        HTML     59K  
                Unrecognized Tax Benefits) (Details)                             
89: R138        Earnings Per Common Share (Computation Of Basic     HTML     96K 
                And Diluted Earnings Per Share) (Details)                        
61: R139        Line of Business Information (Details)              HTML    132K 
90: R140        Non-U.S. Activities (Schedule Of Results From       HTML     91K 
                Non-U.S. Operations) (Details)                                   
49: R141        Non-U.S. Activities (Summary Of Non-U.S. Assets)    HTML     59K 
                (Details)                                                        
21: R142        Parent Company Financial Statements (Parent         HTML     84K 
                Company Statement Of Income) (Details)                           
141: R143        Parent Company Financial Statements (Parent         HTML    100K  
                Company Statement Of Condition) (Details)                        
121: R144        Parent Company Financial Statements (Parent         HTML    119K  
                Company Statement Of Cash Flows) (Details)                       
159: XML         IDEA XML File -- Filing Summary                      XML    267K  
65: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS   9.02M 
14: EX-101.INS  XBRL Instance -- stt-20121231                        XML  13.39M 
16: EX-101.CAL  XBRL Calculations -- stt-20121231_cal                XML    547K 
17: EX-101.DEF  XBRL Definitions -- stt-20121231_def                 XML   1.78M 
18: EX-101.LAB  XBRL Labels -- stt-20121231_lab                      XML   4.11M 
19: EX-101.PRE  XBRL Presentations -- stt-20121231_pre               XML   2.53M 
15: EX-101.SCH  XBRL Schema -- stt-20121231                          XSD    488K 
105: ZIP         XBRL Zipped Folder -- 0000093751-13-000040-xbrl      Zip    807K  


‘EX-31.1’   —   Certification — §302 – SOA’02


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



 <!   C:   C: 
  Exhibit 31.1  


EXHIBIT 31.1
RULE 13a-14(a)/15d-14(a) CERTIFICATION
I, Joseph L. Hooley, certify that:
1.
I have reviewed this Annual Report on Form 10-K of State Street Corporation;
2.
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3.
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
4.
The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
(c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date:
 
By:
/s/  JOSEPH L. HOOLEY        
 
 
 
 
Joseph L. Hooley,
Chairman, President and Chief Executive Officer




Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:2/22/13
For Period end:12/31/1211-K,  13F-HR,  ARS
 List all Filings 


5 Subsequent Filings that Reference this Filing

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

12/23/13  SEC                               UPLOAD10/02/17    1:39K  State Street Corp.
11/22/13  SEC                               UPLOAD10/02/17    1:162K State Street Corp.
 5/30/13  SEC                               UPLOAD10/02/17    1:36K  State Street Corp.
 5/21/13  SEC                               UPLOAD10/02/17    1:38K  State Street Corp.
 4/30/13  SEC                               UPLOAD10/02/17    1:159K State Street Corp.
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Filing Submission 0000093751-13-000040   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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