(Address
of principal executive offices, and Zip Code)
Registrant’s telephone number, including area code:
i(617)
i786-3000
________________
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
iCommon
stock, $1 par value per share
iSTT
iNew York Stock Exchange
Depositary
Shares, each representing a 1/4,000th ownership interest in a share of
iSTT.PRD
iNew York Stock Exchange
iFixed-to-Floating
Rate Non-Cumulative Perpetual Preferred Stock, Series D, without par value per share
Depositary Shares, each representing a 1/4,000th ownership interest in a share of
iSTT.PRG
iNew
York Stock Exchange
iFixed-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
5.07.Submission of Matters to a Vote of Security Holders.
On May 19, 2021, State Street Corporation held its annual meeting of shareholders. At the meeting, 299,643,339 shares of State Street’s common stock were represented in person or by proxy. This represented approximately 86% of the 348,513,475 shares of State Street’s common stock outstanding as of the close of business on March 22, 2021, the record date for the meeting. The following matters were voted on at the meeting:
•the election of twelve director nominees;
•the approval of an advisory proposal
on executive compensation;
•the ratification of the selection of Ernst & Young LLP as State Street’s independent registered
•a shareholder proposal requesting that the Board oversee a racial equity audit.
The shareholders voted: to elect the twelve director nominees; to approve the advisory proposal on executive compensation; to ratify the selection of the independent registered public accounting firm; and against the shareholder proposal.
The number of votes cast for or against
and the number of abstentions and broker non-votes, as applicable, in connection with each matter presented for shareholder consideration at the meeting, are set forth below:
Proposal 1 - Election of Directors
For
Against
Abstain
Broker Non-Votes
Marie
A. Chandoha
279,687,363
1,020,711
354,442
18,580,823
Patrick de Saint-Aignan
272,690,319
7,983,341
388,856
18,580,823
Amelia C. Fawcett
264,312,147
16,424,793
325,576
18,580,823
William
C. Freda
277,787,779
2,889,794
384,943
18,580,823
Sara Mathew
267,489,613
13,243,541
329,362
18,580,823
William L. Meaney
278,761,749
1,909,635
391,132
18,580,823
Ronald P. O'Hanley
258,571,699
21,378,896
1,111,921
18,580,823
Sean
O' Sullivan
279,609,794
1,076,953
375,769
18,580,823
Julio A. Portalatin
279,274,879
1,389,445
398,192
18,580,823
John B. Rhea
279,259,200
1,414,004
389,312
18,580,823
Richard
P. Sergel
264,241,124
16,395,821
425,571
18,580,823
Gregory L. Summe
244,645,220
36,062,238
355,058
18,580,823
Proposal 2 - Advisory Proposal on Executive Compensation
For
Against
Abstain
Broker
Non-Votes
264,269,297
15,946,114
847,105*
18,580,823
94.3%
5.7%
*
*
Proposal 3 - Ratification of the selection of Ernst & Young LLP as State Street’s Independent Registered Public Accounting Firm for the Year Ending December
31, 2021
For
Against
Abstain
Broker Non-Votes
281,631,888
17,856,893
154,558*
**
94.0%
6.0%
*
**
Proposal
4 – Shareholder Proposal
For
Against
Abstain
Broker Non-Votes
101,680,454
174,646,739
4,735,323*
18,580,823
36.8%
63.2%
*
*
*
Not counted as votes cast
** Not applicable
Item 9.01.Financial Statements and Exhibits.
(d) Exhibits.
*
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.