UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 16, 2020
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State Street Corporation
(Exact name of registrant as specified in its charter)
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| Massachusetts | | 001-07511 | | 04-2456637 |
| (State or Other Jurisdiction of Incorporation) | | (Commission File Number) | | (IRS Employer Identification Number) |
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| One Lincoln Street | | | | |
| Boston | Massachusetts | 02111 | | |
| (Address of principal executive offices, and Zip Code) | | | | |
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| Registrant’s telephone number, including area code: | (617) | 786-3000 |
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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:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ 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:
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| Title of each class | | Trading Symbol(s) | | Name of each exchange on which registered |
| Common stock, $1 par value per share | | STT | | New York Stock Exchange |
| | | | |
| Depositary Shares, each representing a 1/4,000th ownership interest in a share of | | STT.PRD | | New York Stock Exchange |
| Fixed-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 | | STT.PRG | | New York Stock Exchange |
| 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).
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| Emerging growth company | ☐ |
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 2.02. Results of Operations and Financial Condition.
On October 16, 2020, State Street Corporation issued a news release announcing its results of operations for the third-quarter of 2020. Copies of that news release and accompanying third-quarter 2020 financial information addendum are furnished herewith as Exhibits 99.1 and 99.2, respectively, and are incorporated herein by reference.
Item 7.01. Regulation FD Disclosure.
On October 16, 2020, State Street Corporation made available a slide presentation providing highlights of its third-quarter 2020 results of operations and related information as of September 30, 2020, which is being made available in connection with an October 16, 2020 investor conference call. A copy of that slide presentation is furnished herewith as Exhibit 99.3 and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
State Street Corporation's news release dated October 16, 2020, announcing its third-quarter 2020 results of operations and accompanying third-quarter 2020 financial information addendum are furnished herewith as Exhibits 99.1 and 99.2, respectively, and are incorporated by reference in Item 2.02 hereof; and a slide presentation providing highlights of State Street's third-quarter 2020 results of operations and related information as of September 30, 2020, which is being made available in connection with an October 16, 2020 investor conference call, is furnished herewith as Exhibit 99.3 and is incorporated by reference in Item 7.01 hereof.
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| Exhibit No. | Description |
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| * | 104 | Cover Page Interactive Data File (formatted as Inline XBRL) |
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| * | | 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.
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| | | | | STATE STREET CORPORATION |
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| | | By: | | /s/ IAN W. APPLEYARD |
| | | Name: | | Ian W. Appleyard, |
| | | Title: | | Executive Vice President, Global Controller and Chief Accounting Officer |
| Date: | October 16, 2020 | | | | |
