State Street Corp 8-K, filed May 21, 2021
State Street Corp (STT)
8-K
2021-05-21
For: 2021-05-19
View Original
Added on
April 10, 2026
About this 8-K
State Street Corp filed this 8-K on May 21, 2021, reporting on events of May 19, 2021.
Items reported
- Item 5.07: Shareholder vote results
- Item 9.01: Financial statements and exhibits
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): May 19, 2021
______________________
(Exact name of registrant as specified in its charter)
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| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification Number) | ||||||||||||
| (Address of principal executive offices, and Zip Code) | ||||||||||||||
Registrant’s telephone number, including area code: | ||||||||
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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:
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||||||||||||
| Depositary Shares, each representing a 1/4,000th ownership interest in a share of | ||||||||||||||
| Depositary Shares, each representing a 1/4,000th ownership interest in a share of | ||||||||||||||
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 | |||||
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
public accounting firm for the year ending December 31, 2021; and
•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.
| STATE STREET CORPORATION | |||||||||||||||||
| By: | /s/ DAVID C. PHELAN | ||||||||||||||||
| Name: | David C. Phelan, | ||||||||||||||||
| Title: | Executive Vice President, General Counsel and Secretary | ||||||||||||||||
| Date: | May 21, 2021 | ||||||||||||||||