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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/03/21 State Street Corp. 8-K:8,9 2/26/21 14:417K Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 32K 2: EX-1.1 Underwriting Agreement or Conflict Minerals Report HTML 109K 3: EX-4.1 Instrument Defining the Rights of Security Holders HTML 23K 4: EX-5.1 Opinion of Counsel re: Legality HTML 16K 10: R1 Document and Entity Information HTML 53K 12: XML IDEA XML File -- Filing Summary XML 13K 9: XML XBRL Instance -- d90690d8k_htm XML 21K 11: EXCEL IDEA Workbook of Financial Reports XLSX 6K 6: EX-101.DEF XBRL Definitions -- stt-20210226_def XML 42K 7: EX-101.LAB XBRL Labels -- stt-20210226_lab XML 68K 8: EX-101.PRE XBRL Presentations -- stt-20210226_pre XML 43K 5: EX-101.SCH XBRL Schema -- stt-20210226 XSD 15K 13: JSON XBRL Instance as JSON Data -- MetaLinks 14± 22K 14: ZIP XBRL Zipped Folder -- 0001193125-21-067602-xbrl Zip 47K
| 8-K |
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 February 26, 2021
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 Lincoln Street | ||||
| i Boston | Massachusetts | i 02111 | ||
| (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 Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D, without par value per share |
i STT.PRD | i New York Stock Exchange | ||
| Depositary Shares, each representing a 1/4,000th ownership interest in a share of |
||||
| i Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series G, without par value per share |
i STT.PRG |
i New York Stock Exchange | ||
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 8.01. | Other Events |
On March 3, 2021, State Street Corporation (“State Street”) issued $850,000,000 aggregate principal amount of 2.200% Senior Subordinated Notes due 2031 (the “Notes”) in a public offering pursuant to a registration statement on Form S-3 (File No. 333-238861) and a related prospectus supplement filed with the Securities and Exchange Commission (the “SEC”). The Notes were issued pursuant to an Indenture dated as of October 31, 2014 (the “Base Indenture”), as supplemented by the First Supplemental Indenture dated as of November 2, 2017 (the “Supplemental Indenture” and, together with the Base Indenture, the “Indenture”), between State Street and Wells Fargo Bank, National Association, a national banking association organized under the laws of the United States, as trustee. The form of Note is filed as Exhibit 4.1 hereto. The Base Indenture has been included as Exhibit 4.3 to State Street’s Registration Statement on Form S-3, filed with the SEC on November 18, 2014. The Supplemental Indenture has been included as Exhibit 4.5 to State Street’s Registration Statement on Form S-3, filed with the SEC on November 2, 2017.
The sale of the Notes was made pursuant to the terms of an underwriting agreement dated February 26, 2021 (the “Underwriting Agreement”), entered into among State Street and BofA Securities, Inc., CastleOak Securities, L.P., Goldman Sachs & Co. LLC and Siebert Williams Shank & Co., LLC, as representatives of the underwriters named therein. The above description of the Underwriting Agreement is qualified in its entirety by reference to the Underwriting Agreement, which is filed as Exhibit 1.1 hereto and is incorporated herein by reference.
State Street expects to receive net proceeds from the offering of the Notes of approximately $842.4 million, after deducting estimated expenses and underwriting discounts and commissions.
Wilmer Cutler Pickering Hale and Dorr LLP, counsel to State Street, has issued an opinion to State Street, dated March 3, 2021, regarding the legality of the Notes to be issued and sold in the offering upon issuance and sale thereof. A copy of the opinion as to legality is filed as Exhibit 5.1 to this current report on Form 8-K.
| Item 9.01. | Financial Statements and Exhibits |
(d) Exhibits
| * | 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/ Ian W. Appleyard | |
| Name: | Ian W. Appleyard | |
| Title: | Executive Vice President, Global Controller and Chief Accounting Officer | |
Date: March 3, 2021
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/3/21 | |||
| For Period end: | 2/26/21 | 4, 424B5, FWP | ||
| 11/2/17 | S-3 | |||
| 11/18/14 | 4, 424B5, 8-K, FWP, S-3ASR | |||
| 10/31/14 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/03/22 State Street Corp. 424B2 1:768K Donnelley … Solutions/FA 2/02/22 State Street Corp. 424B5 1:776K Donnelley … Solutions/FA 11/16/21 State Street Corp. 424B2 1:666K Donnelley … Solutions/FA 11/15/21 State Street Corp. 424B5 1:669K Donnelley … Solutions/FA 9/13/21 State Street Corp. 424B2 1:510K Donnelley … Solutions/FA 9/10/21 State Street Corp. 424B5 9/09/21 1:511K Donnelley … Solutions/FA |