SEC Info - State Street Corp. - ‘8-K’ for 3/19/24

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State Street Corp. – ‘8-K’ for 3/19/24

On: Friday, 3/22/24, at 4:16pm ET · For: 3/19/24 · Accession #: 93751-24-573 · File #: 1-07511

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

 3/22/24  State Street Corp.                8-K:5       3/19/24   12:184K

Current Report — Form 8-K

Filing Table of Contents

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‘8-K’ — Current Report

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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 (Date of Earliest Event Reported): i March 19, 2024

______________________

i State Street Corporation

(Exact name of Registrant as Specified in its Charter)

____________________

i Massachusetts

i 001-07511

i 04-2456637

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

i One Congress Street

i Boston

i Massachusetts

i 02114

(Address of principal executive offices, and Zip Code)


Registrant’s telephone number, including area code:			i (617)			i 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:

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(s)

Name of each exchange on which registered

i Common stock, $1 par value per share

i STT

i New York Stock Exchange

Depositary Shares, each representing a 1/4,000th ownership interest in a share of

i STT.PRG

i New York Stock Exchange

i 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 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company			i ☐

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; Compensation Arrangements of Certain Officers.

As previously disclosed, on October 25, 2023, Ian W. Appleyard, Executive Vice President, Global Controller and Chief Accounting Officer, notified State Street Corporation (“State Street”) of his intent to retire in mid-2024. Mr. Appleyard will retire on June 6, 2024.

On March 19, 2024, State Street appointed Elizabeth M. Schaefer as Chief Accounting Officer, effective upon Mr. Appleyard’s retirement. Ms. Schaefer, 49, has served as State Street’s Senior Vice President and Deputy Controller since July 2016. She served as State Street’s interim Chief Accounting Officer from September 2017 to May 2018. She is a certified public accountant. Following her appointment, Ms. Schaefer will receive a base salary of $400,000 per year and her target incentive compensation for 2024 will be $800,000.

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/ Mark Shelton

Name:

Mark Shelton

Title:

Executive Vice President and General Counsel

Date:

March 22, 2024