Additional Proxy Soliciting Materials (definitive) (defa14a)
April 06 2017 - 4:13PM
Edgar (US Regulatory)
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant To Section 14(a) of the
Securities Exchange Act of 1934
(Amendment No. )
Filed by the Registrant ☒
Filed by
a Party other than the Registrant ☐
Check the appropriate box:
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Preliminary Proxy Statement
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Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
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Definitive Proxy Statement
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Definitive Additional Materials
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Soliciting Material Pursuant to Section 240.14a-12
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STATE STREET CORPORATION
(Name of Registrant as Specified in
its Charter)
(Name of Person(s) Filing Proxy Statement if Other Than the Registrant)
Payment of Filing Fee (Check the appropriate box):
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Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
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(1)
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Title of each class of securities to which transaction applies:
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(2)
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Aggregate number of securities to which transaction applies:
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(3)
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Per unit price or other underlying value of transaction computed pursuant to Exchange Act
Rule 0-11
(set forth the amount on which the filing fee is calculated and state how
it was determined):
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(4)
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Proposed maximum aggregate value of transaction:
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Fee paid previously with preliminary materials.
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Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement
number, or the form or schedule and the date of its filing.
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(1)
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Amount Previously Paid:
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(2)
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Form, Schedule or Registration Statement No.:
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*** Exercise Your
Right
to Vote ***
Important Notice Regarding the Availability of Proxy Materials for the
Shareholder Meeting to Be Held on May 17, 2017
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STATE STREET CORPORATION
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STATE STREET CORPORATION
ONE LINCOLN STREET
BOSTON, MA 02111
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Meeting Information
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Meeting Type:
Annual Meeting
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For holders as
of:
March 10, 2017
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Date:
May
17, 2017
Time:
9:00 AM EDT
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Location:
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Corporate Headquarters
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One Lincoln St., 36th Floor
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Boston, MA 02111
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You are receiving this communication because you hold shares in the company named above.
This is not a ballot. You cannot use this notice to vote these shares. This communication presents only an overview of the more complete proxy materials that
are available to you on the Internet. You may view the proxy materials online at
www.proxyvote.com
or easily request a paper copy (see reverse side).
We encourage you to access and review all of the important information contained in the proxy materials before voting.
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See the
reverse side of this notice to obtain proxy materials and voting instructions.
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Before You Vote
How to Access the Proxy Materials
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Proxy Materials Available to VIEW or RECEIVE:
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NOTICE AND PROXY STATEMENT ANNUAL REPORT
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How to View
Online:
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Have the information that is printed in the box marked by the arrow
(located on the following page) and visit:
www.proxyvote.com.
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How to
Request and Receive a PAPER or
E-MAIL
Copy:
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If you want to receive a paper or
e-mail
copy of these documents, you must request one. There is NO charge for requesting a copy. Please choose one of the following methods to make your request:
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1)
BY
INTERNET
: www.proxyvote.com
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2)
BY TELEPHONE
:
1-800-579-1639
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3)
BY
E-MAIL*
: sendmaterial@proxyvote.com
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* If requesting materials by
e-mail,
please send a blank
e-mail
with the information that is
printed in the box marked by the arrow
(located on the following page) in the subject line.
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Requests, instructions and other inquiries sent to this
e-mail
address will NOT be forwarded to your investment
advisor. Please make the request as instructed above on or before May 3, 2017 to facilitate timely delivery.
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How To
Vote
Please Choose One of the Following Voting Methods
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Vote In Person:
Many shareholder meetings have attendance requirements. Please check the meeting materials for
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any special requirements for meeting attendance. At the meeting, you will need to request a ballot to vote these shares.
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Vote By
Internet:
To vote now by Internet, go to
www.proxyvote.com.
Have the information that is printed in the box marked by the arrow
(located on the following page) available and follow the instructions.
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V
ote By Mail:
You can vote by mail by requesting a paper copy of the materials, which will include a proxy
card.
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Voting Items
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The Board of Directors recommends a vote FOR each director nominee in Item 1, FOR Items 2, 4 and 5 and 1 YEAR for Item 3.
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Item 1.
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To elect 10 directors
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Nominees for Director:
Item 2.
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To approve an advisory proposal on executive compensation.
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Item 3.
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To recommend, by advisory proposal, the frequency of advisory proposals on executive compensation.
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Item 4.
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To approve the 2017 Stock Incentive Plan.
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Item 5.
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To ratify the selection of Ernst & Young LLP as State Streets independent registered public accounting firm for the year ending December 31, 2017.
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In their discretion, the proxies are authorized to vote upon such other business as may properly come before the meeting or any adjournment thereof.
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STATE STREET CORPORATION
ONE LINCOLN STREET
BOSTON, MA
02111
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VOTE BY INTERNET -
www.proxyvote.com
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Use the Internet to transmit your voting direction and for electronic delivery of information up until 11:59 p.m. Eastern Time on May 15, 2017. Have your Trustee Direction Form in hand when you access the website and follow the
instructions to obtain your records and to create an electronic Trustee Direction Form.
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VOTE BY PHONE - 1-800-690-6903
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Use any touch-tone telephone to transmit your voting direction up until
11:59 p.m. Eastern Time on May 15, 2017. Have your Trustee Direction Form in hand when you call and then follow the instructions.
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VOTE BY MAIL
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Mark, sign and date your Trustee Direction Form and return it in the postage-paid envelope we have provided or return it to Vote Processing, c/o Broadridge, 51 Mercedes Way, Edgewood, NY 11717.
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ELECTRONIC DELIVERY OF FUTURE PROXY MATERIALS
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If you would like to reduce the costs incurred by our company in mailing proxy materials, you can consent to receiving all future proxy statements, direction forms, annual reports and related materials electronically via
e-mail
or the Internet. To sign up for electronic delivery, please follow the instructions above to vote using the Internet and, when prompted, indicate that you agree to receive or access proxy and related
materials electronically in future years.
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TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
E24667-P86324 KEEP THIS
PORTION FOR YOUR RECORDS
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DETACH AND RETURN THIS PORTION ONLY
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THIS TRUSTEE DIRECTION FORM IS VALID ONLY
WHEN SIGNED AND DATED.
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STATE STREET CORPORATION
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The Board of Directors recommends a vote FOR each director nominee in Item 1, FOR Items 2, 4 and 5 and 1 YEAR for Item
3.
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Vote On Directors
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Item 1. To elect 10 directors
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Nominees for Director:
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For
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Against
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Abstain
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1a. K. Burnes
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1b. P. de Saint-Aignan
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1c. L. Dugle
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1d. A. Fawcett
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1e. W. Freda
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1f. L. Hill
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1g. J. Hooley
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1h. S. OSullivan
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1i.
R. Sergel
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1j.
G. Summe
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NOTE:
Participant - Please sign exactly as your name
appears hereon.
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Signature [PLEASE SIGN WITHIN BOX]
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Date
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Vote on Company Proposals
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For
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Against
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Abstain
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Item 2.
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To approve an advisory proposal on executive compensation.
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1 Year
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2 Years
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3 Years
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Abstain
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Item 3.
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To recommend, by advisory proposal, the frequency of advisory proposals on executive compensation.
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For
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Against
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Abstain
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Item 4.
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To approve the 2017 Stock Incentive Plan.
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Item 5.
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To ratify the selection of Ernst & Young LLP as State Streets independent registered public accounting firm for the year ending December 31, 2017.
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The Trustee is authorized to vote upon such other business as may properly come before the meeting or any adjournment
thereof.
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Signature (Joint Owners)
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Date
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V.1.1
Dear Salary Savings Program Participant:
The Annual Meeting of Shareholders of State Street Corporation will be held on May 17, 2017 at 9:00 a.m. Eastern Time. Accompanying this
direction form are the 2016 annual report, notice of 2017 meeting of shareholders and the proxy statement containing information about the proposals to be voted on by shareholders at the meeting.
A participant in the State Street Salary Savings Program, or SSP, with company stock in the SSP is considered a named fiduciary and may direct
the trustee how to vote that participants allocated share of State Street Corporation common stock held in the SSP. If the trustee does not timely receive direction from a participant as to how to vote the participants allocated shares,
as set forth on the reverse side of this form, the trustee will vote the participants allocated shares on the same proportional basis as the shares that are directed by other participants. If a matter arises at the meeting, or such other time
as affords no practical means for securing participant direction, the trustee will follow the direction of the Committee designated by the Plan Sponsor (or its designee), unless doing so would be a breach of the trustees fiduciary duty. Voting
of allocated shares will occur as described above unless the trustee or SSP plan administrator (or its designee), as applicable, determines that doing so would result in a breach of its fiduciary duty.
You must direct the trustee in advance of the meeting so that the trustee, the registered owner of all the shares held in the SSP, can vote in
a timely way. Please provide your direction on the Internet, by telephone or by mail by following the instructions on the reverse side of this direction form. The trustee must receive your direction no later than 11:59 p.m. Eastern Time on
May 15, 2017
for your direction to be counted. Your direction will be held in confidence by the trustee.
You may not provide this direction at the annual meeting.
You may change your direction to the trustee by submitting a
new direction. The last direction the trustee receives by 11:59 p.m. Eastern Time on
May 15, 2017
, will be the only one counted. If your direction by mail is received on the same day as one received electronically, the electronic
direction will be followed.
Participants are strongly encouraged to direct the trustee how to vote their allocated shares. If you have any
questions, please call the Global Human Resources Service Center at
+1-855-447-7007
Option 0, or internally at ext. 77007 Option
0, or
e-mail
GHRSERVICECTR@STATESTREET.COM.
Thank you for voting.
State Street Bank and Trust Company, Trustee
Important Notice Regarding the Availability of Proxy Materials for the Annual Meeting:
The Notice and Proxy Statement and Annual Report are available at www.proxyvote.com.
E24668-P86324
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STATE STREET CORPORATION
Annual Meeting of Shareholders - May 17, 2017
DIRECTION TO THE TRUSTEE
As a participant in the State Street Salary Savings Program, I hereby direct State Street Bank and Trust Company, as trustee, to vote at
the Annual Meeting of Shareholders to be held on May 17, 2017 at 9:00 a.m. Eastern Time, or at any adjournment thereof, the allocated shares of State Street Corporation common stock held in the Salary Savings Program that I am entitled under
that Program to direct, as indicated on the reverse side of this form.
Each of the matters to come before the meeting is described in the notice of, and proxy statement for, the meeting, receipt of which is
hereby acknowledged. If a matter arises at the meeting, or such other time which affords no practical means for securing participant direction, the trustee will follow the recommendation of the Committee designated by the Plan Sponsor (or its
designee), unless the trustee determines that doing so would result in a breach of the trustees fiduciary duty.
The Board of Directors recommends a vote FOR the election of the 10 director nominees, FOR Items 2, 4 and 5 and 1 YEAR for Item
3. The shares represented by this form will be voted in accordance with the specifications made in this direction. To direct the trustee in accordance with the recommendations of the Board of Directors, just sign and date on the reverse side of this
form; no boxes need to be checked. If no direction is given to the trustee with respect to the shares represented by this direction (by this direction form, the Internet or telephone), the trustee will vote the participants allocated share of
State Street Corporation common stock held in the Salary Savings Program on the same proportional basis as the shares that are directed by other participants. Voting of allocated shares will occur as described above unless the trustee or SSP plan
administrator (or its designee), as applicable, determines that doing so would result in a breach of its fiduciary duty.
You do not have to use this form if you have used the Internet or telephone to direct the trustee, unless you want to change your
direction. To use this form, please check the appropriate boxes (or, to follow the recommendations of the Board of Directors, you may leave the boxes unchecked), sign, date and return this form promptly, using the enclosed postage-paid
envelope.
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V.1.1
State Street (NYSE:STT)
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