Current Report Filing (8-k)
May 13 2016 - 4:44PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 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): May 13, 2016
STATE STREET CORPORATION
(Exact name of registrant as specified in its charter)
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Massachusetts
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001-07511
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04-2456637
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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One Lincoln Street, Boston, Massachusetts
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02111
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(Address of principal executive offices)
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(Zip Code)
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617-786-3000
(Registrants telephone number, including area code)
Not Applicable
(Former
name or former address, if changed since last report)
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 (
see
General Instruction A.2 below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 8.01. Other Events
On May 13, 2016, State Street Corporation (the Corporation) executed an amendment to its Replacement Capital Covenant, dated as of
April 30, 2007 (the Replacement Capital Covenant), which Replacement Capital Covenant is in favor of and for the benefit of the holders of the Corporations floating rate junior subordinated debentures due 2028 that underlie the
floating rate capital securities of State Street Capital Trust I CUSIP No. 857476AA3 (the Covered Debt). The intent and effect of the amendment is to broaden the scope of the indebtedness of the Corporation and its subsidiaries that is
eligible to succeed to the rights of the Covered Debt under the Replacement Capital Covenant (the Eligible Debt) and permit the Corporation to determine which series of Eligible Debt shall succeed to such rights under the circumstances
provided in the Replacement Capital Covenant.
The foregoing description of the amendment to the Replacement Capital Covenant is qualified
in its entirety by reference to the full text of such amendment and the form of Replacement Capital Covenant, which are attached as exhibits hereto.
Item 9.01. Financial Statements and Exhibits
(d) Exhibits
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Exhibit No.
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Description
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99.1
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Amendment to Replacement Capital Covenant, dated as of May 13, 2016.
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99.2
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Form of Replacement Capital Covenant of State Street Corporation (incorporated by reference to Exhibit 99.1 to the registrants Current Report on Form 8-K filed with the Securities and Exchange Commission on April 30,
2007).
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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:
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/s/ Sean P. Newth
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Name:
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Sean P. Newth
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Title:
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Senior Vice President, Chief Accounting Officer and
Controller
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Date: May 13, 2016
Exhibit Index
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Exhibit No.
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Description
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99.1
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Amendment to Replacement Capital Covenant, dated as of May 13, 2016.
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99.2
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Form of Replacement Capital Covenant of State Street Corporation (incorporated by reference to Exhibit 99.1 to the registrants Current Report on Form 8-K filed with the Securities and Exchange Commission on April 30,
2007).
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