SEC 8-K and 6-K filings classified by Claude with reasoning, plus Form 4 insider transactions. Ingested from EDGAR’s filing stream in near-real time, reconciled overnight.
Open-market buys and sells only — the deliberate trades. Zero here doesn’t mean no filings: grants, option exercises and tax withholding (below) are compensation, not market trades.
| Insider | Role | Date | Transaction | Shares | Value |
|---|---|---|---|---|---|
| RICHARDS MICHAEL L | EVP and Chief Admin Officer | 2026-09-02 | Gift | 1009 | $0 |
| Read Craig Jack | EVP, Global Controller and CAO | 2026-08-31 | Grant/award | 9408 | $0 |
| O HANLEY RONALD P | Chairman, CEO and President, Director | 2026-08-14 | Option exercise | 2204 | $0 |
| O HANLEY RONALD P | Chairman, CEO and President, Director | 2026-08-14 | D | 2204 | $405K |
| O HANLEY RONALD P | Chairman, CEO and President, Director | 2026-08-14 | Gift | 10500 | $0 |
| RICHARDS MICHAEL L | EVP and Chief Admin Officer | 2026-08-14 | Tax withholding | 196 | $38K |
| TAHIRI MOSTAPHA | EVP and COO | 2026-08-14 | Tax withholding | 54 | $10K |
| Schaefer Elizabeth | SVP, Chief Accounting Officer | 2026-08-03 | Open-market sell | 500 | $91K |
| Hu W. Bradford | EVP and Chief Risk Officer | 2026-07-24 | Open-market sell 10b5-1 | 9758 | $1.8M |
| Horgan Kathryn M | Executive Vice President | 2026-07-21 | Open-market sell 10b5-1 | 5523 | $1.0M |
| O HANLEY RONALD P | Chairman, CEO and President, Director | 2026-07-21 | Open-market sell 10b5-1 | 14553 | $2.7M |
| Horgan Kathryn M | Executive Vice President | 2026-06-11 | Open-market sell 10b5-1 | 5500 | $895K |
| RICHARDS MICHAEL L | EVP and Chief Admin Officer | 2026-06-08 | Open-market sell | 1500 | $243K |
| Hu W. Bradford | EVP and Chief Risk Officer | 2026-05-26 | Open-market sell 10b5-1 | 9212 | $1.4M |
| O HANLEY RONALD P | Chairman, CEO and President, Director | 2026-05-26 | Open-market sell 10b5-1 | 14553 | $2.3M |
| Chandoha Marie A | Director | 2026-05-20 | Grant/award | 1526 | $0 |
| DeMaio Donna | Director | 2026-05-20 | Grant/award | 1526 | $0 |
| Fawcett Amelia C. | Director | 2026-05-20 | Grant/award | 1526 | $0 |
| Freda William C | Director | 2026-05-20 | Grant/award | 1526 | $0 |
| Gordon Susan M. | Director | 2026-05-20 | Grant/award | 1526 | $0 |
Fiscal period ending 2025-12-31 versus 2024-12-31 — view filing on EDGAR →
Regulatory and legal risk has broadened materially across four distinct fronts — antitrust litigation, AML/sanctions enforcement, capital rule changes, and digital asset regulation — with ESG reporting compliance adding a fifth vector. No single change rises to existential severity, but the cumulative expansion of named, specific obligations and enforcement exposures represents a substantive worsening of the compliance and legal risk profile.
1 company-specific · 4 common-mode
Company now explicitly discloses being named as defendant in antitrust litigation by multiple state Attorneys General regarding coal industry practices—a material escalation from prior year's generic regulatory scrutiny language.
Our businesses may be adversely affected by increased and conflicting political and regulatory scrutiny of asset management, stewardship and sustainable investment strategies and services offered in…
New disclosure of widespread AML/sanctions enforcement actions against financial institutions, escalating regulatory risk profile and compliance expectations.
Anti-Money Laundering and Financial Transparency Certain of our subsidiaries are subject to the Bank Secrecy Act of 1970, as amended by the USA PATRIOT Act of 2001, and related regulations, which…
New eSLR Final Rule effective April 1, 2026 materially changes leverage buffer calibration from fixed 2%/3% to 50% of Method 1 surcharge, creating new regulatory capital requirements and compliance obligations.
Regulatory Capital Adequacy and Liquidity Standards Basel III Rule We are subject to the Basel III framework (Basel III rule) in the United States. The provisions of the Basel III rule related to…
New specific regulatory risks added: GENIUS Act and CLARITY Act for stablecoins/digital assets, plus explicit mention of regulatory noncompliance risk in failure scenarios.
Development and completion of new products and services, including State Street Alpha and those related to wealth servicing, alternative investment management or digital assets or incorporating…
New substantial disclosure on ESG/sustainability reporting risks: regulatory divergence, double materiality, and potential non-compliance consequences. Escalates climate risk scope materially.
Climate change may increase the frequency and severity of major weather events, and measures to transition to a low carbon economy may drive regulatory and business model change that could adversely…
State Street issued and sold 500,000 depositary shares representing preferred stock (Series L Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock) in a public offering, raising approximately $495.7 million in net proceeds. Although technically equity in form, perpetual preferred stock functions as a debt-like instrument with fixed rates and liquidation preferences, and is classified as a direct financial obligation. This is a material capital-raising event disclosed under Item 8.01.
View raw filing on EDGAR →State Street modified the rights of security holders through an amendment to its Articles of Organization establishing the terms of a new Series L preferred stock.
View raw filing on EDGAR →State Street entered into an underwriting agreement on August 5, 2026, to issue and sell 500,000 depositary shares representing Series L preferred stock in a public offering, with expected net proceeds of approximately $495.7 million.
View raw filing on EDGAR →State Street Bank, a wholly-owned subsidiary of State Street Corporation, issued $1.25 billion in aggregate principal amount of senior notes ($750 million due 2029 at 4.701% and $500 million due 2034 at 5.217%) on July 23, 2026. This is a clear creation of a new direct financial obligation through debt issuance, with net proceeds of approximately $1.244 billion. The disclosure includes the fiscal agency agreement and purchase agreement details, all hallmarks of a material debt issuance event.
View raw filing on EDGAR →State Street Corporation announced its second-quarter 2026 financial results on July 16, 2026, reporting total revenue of $4.0 billion (up 17% year-over-year), net income of $1.084 billion, and diluted EPS of $3.65 (up 68% year-over-year), along with record AUC/A of $57.9 trillion and record AUM of $6.3 trillion.
View raw filing on EDGAR →This is a clear disclosure of shareholder vote results from State Street's Annual Meeting held on May 20, 2026, covering four proposals: election of thirteen directors, advisory vote on executive compensation, ratification of Ernst & Young LLP as auditor, and a shareholder proposal on board chair independence. The detailed voting tallies for each proposal are the core content of Item 5.07, and the results are material to investors as they reflect shareholder approval of board composition, compensation practices, and auditor selection.
View raw filing on EDGAR →