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STT » Topics » Item 9.01. Financial Statements and Exhibits

This excerpt taken from the STT 8-K filed May 21, 2009.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits

 

Exhibit No.

   

Description

1.1

    Underwriting Agreement, dated May 18, 2009, by and among State Street Corporation, Goldman Sachs & Co. and Morgan Stanley & Co. Incorporated, as representatives of the several underwriters named therein

1.2

    Underwriting Agreement, dated May 19, 2009, by and among State Street Corporation, Goldman Sachs & Co. and Morgan Stanley & Co. Incorporated, as representatives of the several underwriters named therein

5.1

    Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, dated May 18, 2009

5.2

    Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, dated May 19, 2009

23.1

    Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included as part of Exhibit 5.1)

23.2

    Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included as part of Exhibit 5.2)

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
Date: May 21, 2009   By:  

/s/    David C. Phelan

      Name:   David C. Phelan
      Title:   Executive Vice President
        and General Counsel

EXHIBIT INDEX

 

Exhibit No.

   

Description

1.1

    Underwriting Agreement, dated May 18, 2009, by and among State Street Corporation, Goldman Sachs & Co. and Morgan Stanley & Co. Incorporated, as representatives of the several underwriters named therein

1.2

    Underwriting Agreement, dated May 19, 2009, by and among State Street Corporation, Goldman Sachs & Co. and Morgan Stanley & Co. Incorporated, as representatives of the several underwriters named therein

5.1

    Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, dated May 18, 2009

5.2

    Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, dated May 19, 2009

23.1

    Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included as part of Exhibit 5.1)

23.2

    Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included as part of Exhibit 5.2)
This excerpt taken from the STT 8-K filed Jan 20, 2009.

Item 9.01.          Financial Statements and Exhibits.

(d)  Exhibits.

Exhibit No.   Description
 
99.1 News release dated January 20, 2009, announcing fourth quarter 2008 results of operations and related financial information (such Exhibit 99.1 is furnished and not filed).
 
99.2

Slide presentation pertaining to the State Street-sponsored asset-backed commercial paper conduit program as of December 31, 2008 (such Exhibit 99.2 is furnished and not filed).

 

99.3

Slide presentation pertaining to State Street’s investment portfolio as of December 31, 2008 (such Exhibit 99.3 is furnished and not filed).

- 29 -


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

 

Date:

January 20, 2009

By:

/s/ James J. Malerba

Name:

James J. Malerba

Title:

Executive Vice President

and Corporate Controller

 

 

 

- 30 -

Exhibit Index

Exhibit No.

Description

 
99.1

News release dated January 20, 2009, announcing fourth quarter 2008 results of operations and related financial information (such Exhibit 99.1 is furnished and not filed).

 
99.2

Slide presentation pertaining to the State Street-sponsored asset-backed commercial paper conduit program as of December 31, 2008 (such Exhibit 99.2 is furnished and not filed).

 
99.3

Slide presentation pertaining to State Street’s investment portfolio as of December 31, 2008 (such Exhibit 99.3 is furnished and not filed).

- 31 -

This excerpt taken from the STT 8-K filed Jul 15, 2008.

Item 9.01.          Financial Statements and Exhibits.

(d) Exhibits.

State Street Corporation’s news release dated July 15, 2008, announcing second quarter 2008 results of operations and related financial information, is furnished herewith as Exhibit 99.1, and its slide presentations pertaining to State Street-sponsored asset-backed commercial paper conduits and State Street’s investment securities portfolio, which were made available in connection with the investor conference call referenced in the July 15, 2008 news release, are furnished herewith as Exhibits 99.2 and 99.3.

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/ James J. Malerba

Name:

James J. Malerba

Title:

Executive Vice President and

Corporate Controller

 

Date:

July 15, 2008

EXHIBIT INDEX

Exhibit No.

 

Description

99.1 News release dated July 15, 2008, announcing second quarter 2008 results of operations and related financial information.
 
99.2 Slide presentation pertaining to State Street-sponsored asset-backed commercial paper conduits as of June 30, 2008.
 
99.3 Slide presentation pertaining to State Street’s investment securities portfolio as of June 30, 2008.

This excerpt taken from the STT 8-K filed Jun 5, 2008.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

 

Exhibit No.

 

Description

 

 

 

1.1

 

Underwriting Agreement dated June 3, 2008.

 

 

 

5.1

 

Opinion of Wilmer Cutler Pickering Hale and Dorr LLP

 

 

 

23.1

 

Consent of Wilmer Cutler Pickering Hale and Dorr LLP (contained in Exhibit 5.1 above).

 

2


 

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

 

 

 

 

Date:  June 4, 2008

By:

/s/ David C. Phelan

 

Name:

David C. Phelan

 

Title:

Executive Vice President and General
Counsel

 

3


 

Exhibit Index

 

Exhibit No.

 

Description

 

 

 

1.1

 

Underwriting Agreement dated June 3, 2008.

 

 

 

5.1

 

Opinion of Wilmer Cutler Pickering Hale and Dorr LLP.

 

 

 

23.1

 

Consent of Wilmer Cutler Pickering Hale and Dorr LLP (contained in Exhibit 5.1 above).

 

4

This excerpt taken from the STT 8-K filed Jun 2, 2008.

Item 9.01.        Financial Statements and Exhibits.

 

(d) Exhibits.

 

99.1         Information concerning State Street’s investment portfolio and asset-backed commercial paper conduit program.

 

21


 

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 and General
Counsel

 

 

 

Date June 2, 2008

 

 

 

22


 

EXHIBIT INDEX

 

Exhibit No.

 

Description

 

 

 

99.1

 

Information concerning State Street’s investment portfolio and asset-backed commercial paper conduit program.

 

23

This excerpt taken from the STT 8-K filed Apr 15, 2008.
Item 9.01     Financial Statements and Exhibits.

(d) Exhibits.

State Street Corporation’s news release dated April 15, 2008, announcing first quarter 2008 results of operations and related financial information, is furnished herewith as Exhibit 99.1, and its slide presentations pertaining to State Street-sponsored asset-backed commercial paper conduits and State Street’s investment securities portfolio, which were made available in connection with the investor conference call referenced in the April 15, 2008 news release, are furnished herewith as Exhibits 99.2 and 99.3.



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/ James J. Malerba

Name:

James J. Malerba

Title:

Senior Vice President and

Corporate Controller

 

Date:

April 15, 2008

EXHIBIT INDEX

Exhibit No.

Description
99.1

News release dated April 15, 2008, announcing first quarter 2008 results of operations and related financial information.

 
99.2

Slide presentation pertaining to State Street-sponsored asset-backed commercial paper conduits as of March 31, 2008.

 
99.3

Slide presentation pertaining to State Street’s investment securities portfolio as of March 31, 2008.

This excerpt taken from the STT 8-K filed Jan 3, 2008.

Item 9.01.        Financial Statements and Exhibits.

 

(d) Exhibits.

 

99.1         Press release dated January 3, 2008.

 

-4-


 

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/ James J. Malerba

 

 

Name:

James J. Malerba

 

Title:

Senior Vice President and

 

 

Corporate Controller

 

Date: January 2, 2008

 

S-1


 

EXHIBIT INDEX

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press release dated January 3, 2008.

 

 

E-1

This excerpt taken from the STT 8-K filed Nov 13, 2007.

Item 9.01.       Financial Statements and Exhibits.

 

(d)   Exhibits.   Conference slides for the presentation by Mr. Logue at the Merrill Lynch Banking and Financial Services Conference on November 13, 2007.

 

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/ James J. Malerba

 

 

Name:

James J. Malerba

 

Title:

Senior Vice President and

 

 

Corporate Controller

 

 

 

Date: November 13, 2007

 

 

 

2


 

EXHIBIT INDEX

 

Exhibit No.

 

Description

 

 

 

99.1

 

Conference slides for the presentation by Mr. Logue at the Merrill Lynch Banking and Financial Services Conference on November 13, 2007.

 

3

This excerpt taken from the STT 8-K filed Jul 20, 2007.

Item 9.01.              Financial Statements and Exhibits.

(d)  Exhibits.

99.1         Press release dated July 20, 2007.

2



 

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/ James J. Malerba

 

Name:

James J. Malerba

 

Title:

Senior Vice President and

 

 

Corporate Controller

 

 

 

Date: July 20, 2007

 

 

 

3



 

EXHIBIT INDEX

Exhibit No.

 

Description

 

 

 

99.1

 

Press release dated July 20, 2007.

 

4


EXCERPTS ON THIS PAGE:

8-K
May 21, 2009
8-K
Jan 20, 2009
8-K
Jul 15, 2008
8-K
Jun 5, 2008
8-K
Jun 2, 2008
8-K
Apr 15, 2008
8-K
Jan 3, 2008
8-K
Nov 13, 2007
8-K
Jul 20, 2007

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