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State Street Corp – ‘8-K’ for 2/26/21

On:  Wednesday, 3/3/21, at 4:12pm ET   ·   For:  2/26/21   ·   Accession #:  1193125-21-67602   ·   File #:  1-07511

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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

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     32K 
 2: EX-1.1      Underwriting Agreement                              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’   —   Current Report


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 iX: 
  8-K  
 i STATE STREET CORP  i MA  i false  i 0000093751 0000093751 2021-02-26 2021-02-26 0000093751 us-gaap:CommonStockMember 2021-02-26 2021-02-26 0000093751 us-gaap:SeriesDPreferredStockMember 2021-02-26 2021-02-26 0000093751 us-gaap:SeriesGPreferredStockMember 2021-02-26 2021-02-26

 

 

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

 

Exhibit
No.
  

Description

  1.1    Underwriting Agreement, dated February 26, 2021, by and among State Street Corporation and BofA Securities, Inc., CastleOak Securities, L.P., Goldman Sachs & Co. LLC and Siebert Williams Shank & Co., LLC, as representatives of the several underwriters named therein
  4.1    Form of 2.200% Senior Subordinated Notes due 2031
  5.1    Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, dated March 3, 2021
23.1    Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included as part of Exhibit 5.1)
*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/ Ian W. Appleyard

Name:   Ian W. Appleyard
Title:   Executive Vice President, Global Controller and Chief Accounting Officer

Date: March 3, 2021


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:3/3/21
For Period end:2/26/214,  424B5,  FWP
11/2/17S-3
11/18/144,  424B5,  8-K,  FWP,  S-3ASR
10/31/14
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