Ssga Funds Management, Inc..

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.A. or
11.B. of Form ADV.
Criminal
Check item(s) being responded to:
11.A(1)
11.A(2)
11.B(1)
11.B(2)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal actions, including separate
cases arising out of the same event, must be reported on separate DRPs. Use this DRP to report all charges arising out of the same event. One event may
result in more than one affirmative answer to the items listed above.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
STATE STREET CORPORATION
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.

 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  If charge(s) were brought against an organization over which you or an advisory affiliate exercise(d) control: Enter organization name, whether or not
the organization was an investment-related business and your or the advisory affiliate's position, title, or relationship. 
2.
Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country,
Docket/Case number). 
UNITED STATES OF AMERICA V. STATE STREET CORPORATION, CASE 17-10008, BROUGHT IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT
OF MASSACHUSETTS
3.
Event Disclosure Detail (Use this for both organizational and individual charges.)
A. Date First Charged (MM/DD/YYYY): 
01/18/2017
 Exact
 Explanation
If not exact, provide explanation:
B.
Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charge provide: (1) number of counts, (2) felony or misdemeanor,
(3) plea for each charge, and (4) product type if charge is investment-related). 
THE CHARGE WAS FOR ONE COUNT OF CONSPIRACY TO COMMIT WIRE FRAUD AND SECURITIES FRAUD. THE CHARGE, WHICH WAS A FELONY,
RELATED TO OVERCHARGING CERTAIN CLIENTS FOR THE PROVISION OF TRANSITION MANAGEMENT SERVICES. STATE STREET CORPORATION
("STATE STREET") AND THE UNITED STATES ATTORNEY'S OFFICE FOR THE DISTRICT OF MASSACHUSETTS AND THE UNITED STATES DEPARTMENT
OF JUSTICE (THE "DOJ") ENTERED INTO A DEFERRED PROSECUTION AGREEMENT (THE "DPA") UNDER WHICH THE DOJ AGREED TO DEFER
PROSECUTION OF STATE STREET AND ANY OF ITS SUBSIDIARIES AND MAJORITY-OWNED, OPERATIONALLY-CONTROLLED AFFILIATES FOR THIS
CHARGE PURSUANT TO THE TERMS AND CONDITIONS DESCRIBED IN THE DPA. ON JULY 29, 2022, THE CRIMINAL INFORMATION FILED IN
CONNECTION WITH THE MATTER WAS DISMISSED WITH PREJUDICE.
C.
Did any of the Charge(s) within the Event involve a felony? 
 Yes
 No
D.
Current status of the Event? 
 Pending
 On Appeal
 Final
E.
Event Status Date (complete unless status is Pending) (MM/DD/YYYY): 
07/29/2022
 Exact
 Explanation
If not exact, provide explanation:
4.
Disposition Disclosure Detail: 
Include for each charge (a) Disposition Type (e.g., convicted, acquitted, dismissed, pretrial, etc.), (b) Date, (c) Sentence/Penalty, (d) Duration (if
sentence - suspension, probation, etc.), (e) Start Date of Penalty, (f) Penalty/Fine Amount, and (g) Date Paid. 
THE PROSECUTION OF THIS CHARGE WAS DEFERRED PURSUANT TO THE TERMS AND CONDITIONS OF A DEFERRED PROSECUTION AGREEMENT (THE
"DPA") BETWEEN STATE STREET CORPORATION AND THE UNITED STATES ATTORNEY'S OFFICE FOR THE DISTRICT OF MASSACHUSETTS AND THE UNITED
STATES DEPARTMENT OF JUSTICE (THE "DOJ"). PURSUANT TO THE TERMS AND CONDITIONS OF THE DPA, STATE STREET PAID A MONETARY PENALTY OF
$32.3 MILLION TO THE UNITED STATES TREASURY ON JANUARY 24, 2017. ON JULY 29, 2022, THE CRIMINAL INFORMATION FILED IN CONNECTION WITH
THE MATTER WAS DISMISSED WITH PREJUDICE.
5.
Provide a brief summary of circumstances leading to the charge(s) as well as the disposition. Include the relevant dates when the conduct which was
the subject of the charge(s) occurred. (Your response must fit within the space provided.) 
THE CHARGE RELATED TO SIX EMEA-BASED (EUROPEAN, MIDDLE-EAST AND AFRICA) CLIENTS THAT WERE OVERCHARGED FOR TRANSITION
MANAGEMENT SERVICES PROVIDED IN 2010 AND 2011. STATE STREET CORPORATION'S ("STATE STREET") TRANSITION MANAGEMENT BUSINESS FALLS
WITHIN ITS PORTFOLIO SOLUTIONS GROUP, WHICH IS, IN TURN, PART OF STATE STREET GLOBAL MARKETS. AFTER LEARNING OF THIS MISCONDUCT IN
2011, STATE STREET REPORTED THIS MATTER TO THE UK FINANCIAL CONDUCT AUTHORITY (FCA) AND COOPERATED WITH THE FCA AND OTHER
GOVERNMENTAL AGENCIES, WHILE SIMULTANEOUSLY CONDUCTING ITS OWN INTERNAL INVESTIGATION WITH THE ASSISTANCE OF INDEPENDENT
ADVISORS. STATE STREET, THE UNITED STATES ATTORNEY'S OFFICE FOR THE DISTRICT OF MASSACHUSETTS AND THE UNITED STATES DEPARTMENT OF
JUSTICE (THE "DOJ") HAVE ENTERED INTO A DEFERRED PROSECUTION AGREEMENT (THE "DPA") UNDER WHICH THE DOJ AGREED TO DEFER
PROSECUTION OF THIS CHARGE PURSUANT TO THE TERMS AND CONDITIONS DESCRIBED IN THE DPA. ON JULY 29, 2022, THE CRIMINAL INFORMATION
FILED IN CONNECTION WITH THE MATTER WAS DISMISSED WITH PREJUDICE.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.A. or
11.B. of Form ADV.
Criminal
Check item(s) being responded to:
11.A(1)
11.A(2)
11.B(1)
11.B(2)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 

Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal actions, including separate
cases arising out of the same event, must be reported on separate DRPs. Use this DRP to report all charges arising out of the same event. One event may
result in more than one affirmative answer to the items listed above.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
STATE STREET CORPORATOIN
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  If charge(s) were brought against an organization over which you or an advisory affiliate exercise(d) control: Enter organization name, whether or not
the organization was an investment-related business and your or the advisory affiliate's position, title, or relationship. 
2.
Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country,
Docket/Case number). 
U.S. DISTRICT COURT FOR THE DISTRICT OF MASSACHUSETTS, BOSTON, MASSACHUSETTS, 1:21-CR-10153
3.
Event Disclosure Detail (Use this for both organizational and individual charges.)
A. Date First Charged (MM/DD/YYYY): 
05/13/2021
 Exact
 Explanation
If not exact, provide explanation:
B.
Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charge provide: (1) number of counts, (2) felony or misdemeanor,
(3) plea for each charge, and (4) product type if charge is investment-related). 
STATE STREET CORPORATION ("SSC") ENTERED INTO A DEFERRED PROSECUTION AGREEMENT (THE "DPA") WITH THE US ATTORNEY'S OFFICE FOR
THE DISTRICT OF MASSACHUSETTS (THE "OFFICE"), PURSUANT TO WHICH THE OFFICE FILED AN INFORMATION (THE "INFORMATION") CHARGING
SSC WITH ONE COUNT OF CONSPIRACY TO COMMIT WIRE FRAUD, 18 U.S.C. § 1349, A FELONY. THE INFORMATION CHARGES THAT BETWEEN 1998
AND 2015, IN CONNECTION WITH ITS CUSTODY BANKING BUSINESS, SSC, AND EIGHT FORMER EMPLOYEES IDENTIFIED AS CO-CONSPIRATORS,
AGREED TO ENGAGE IN A SCHEME TO DEFRAUD THE BANK'S CUSTODY CLIENTS BY MARKING UP OUT-OF-POCKET EXPENSES, WHICH WERE
GENERALLY UNDERSTOOD TO BE REIMBURSABLE COSTS FOR ITEMS PAID BY A BANK ON BEHALF OF A CLIENT, WHILE LEADING CLIENTS TO
BELIEVE THAT THEY WERE PASS THROUGH CHARGES ON WHICH THE BANK WAS NOT EARNING A PROFIT. PURSUANT TO THE DPA, SSC WAS NOT
REQUIRED TO ENTER A PLEA. ON MARCH 5, 2024, THE CRIMINAL INFORMATION FILED IN CONNECTION WITH THE MATTER WAS DISMISSED.
C.
Did any of the Charge(s) within the Event involve a felony? 
 Yes
 No
D.
Current status of the Event? 
 Pending
 On Appeal
 Final
E.
Event Status Date (complete unless status is Pending) (MM/DD/YYYY): 
03/05/2024
 Exact
 Explanation
If not exact, provide explanation:
4.
Disposition Disclosure Detail: 
Include for each charge (a) Disposition Type (e.g., convicted, acquitted, dismissed, pretrial, etc.), (b) Date, (c) Sentence/Penalty, (d) Duration (if

sentence - suspension, probation, etc.), (e) Start Date of Penalty, (f) Penalty/Fine Amount, and (g) Date Paid. 
ON MAY 13, 2021, PURSUANT TO THE DPA, SSC AGREED (1) TO PAY A PENALTY OF $115 MILLION, WHICH WAS PAID ON MAY 17, 2021; (2) TO MAINTAIN
OR IMPLEMENT A COMPLIANCE PROGRAM FOCUSED ON PREVENTION AND DETECTION OF SIMILAR CONDUCT; (3) TO RETAIN AN INDEPENDENT
MONITOR FOR TWO YEARS TO OVERSEE COMPLIANCE WITH THE DPA; AND (4) TO COOPERATE WITH AND MAKE DISCLOSURES TO THE OFFICE AND
OTHER LAW ENFORCEMENT AGENCIES DURING THE TERM OF THE DPA. ON MARCH 5, 2024, THE CRIMINAL INFORMATION FILED IN CONNECTION WITH
THE MATTER WAS DISMISSED.
5.
Provide a brief summary of circumstances leading to the charge(s) as well as the disposition. Include the relevant dates when the conduct which was
the subject of the charge(s) occurred. (Your response must fit within the space provided.) 
BY ENTERING INTO THE DPA ON MAY 13, 2021, SSC ADMITTED THAT IT WAS RESPONSIBLE UNDER US LAW FOR THE ACTS OF ITS OFFICERS,
DIRECTORS, EMPLOYEES, AND AGENTS AS CHARGED IN THE INFORMATION AND THAT THE ALLEGATIONS DESCRIBED IN THE INFORMATION WERE
ACCURATE. THE OFFICE AGREED TO DEFER PROSECUTION OF SSC AND TO DISMISS THE CHARGE DESCRIBED IN THE INFORMATION IF THE DPA'S
CONDITIONS ARE MET. SSC WAS NOT REQUIRED TO ENTER A PLEA. ON MARCH 5, 2024, THE CRIMINAL INFORMATION FILED IN CONNECTION WITH THE
MATTER WAS DISMISSED. SEE ITEM 3, ABOVE, FOR A SUMMARY OF THE CHARGE AND RELEVANT DATES OF THE CONDUCT.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
STATE STREET CORPORATION
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.

This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
GOMES, ET AL. V. STATE STREET CORPORATION, ET AL., NO. 1:21-CV-10863 (D. MASS.)
2.
Principal Relief Sought:
Disgorgement
Other Relief Sought: 
MONEY DAMAGES (PRIVATE/CIVIL COMPLAINT); INJUNCTION; RESTITUTION; DECLARATORY RELIEF; ORDER CERTIFYING ACTION AS A CLASS ACTION;
ATTORNEYS FEES AND COSTS
3.
Filing Date of Court Action (MM/DD/YYYY):
05/25/2021
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Investment Contract(s)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MASSACHUSETTS, BOSTON, MA 1:21-CV-10863
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
NOT APPLICABLE
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
PARTICIPANTS IN THE STATE STREET SALARY PROGRAM (THE "PLAN") ALLEGE THAT DEFENDANTS STATE STREET CORPORATION, STATE STREET BANK &
TRUST COMPANY, AND THE NORTH AMERICA REGIONAL BENEFITS COMMITTEE OF STATE STREET CORPORATION (CURRENTLY KNOWN AS UNITED
STATES BENEFITS COMMITTEE OF STATE STREET CORPORATION) BREACHED FIDUCIARY DUTIES AND ENGAGED IN PROHIBITED TRANSACTIONS WITH
RESPECT TO THE PLAN'S INVESTMENT OPTIONS AND ADMINISTRATIVE FEES. WE RESOLVED THIS MATTER AT A COST THAT WAS WITHIN OUR
ESTABLISHED ACCRUALS FOR LOSS CONTINGENCIES.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
05/27/2021
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Settled
12. Resolution Date (MM/DD/YYYY): 
08/12/2024
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 4,300,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction

Bar
Suspension
B.
Other Sanctions:
N/A
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
THE MATTER WAS SETTLED FOR $4,300,000.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
PLAINTIFFS WERE PARTICIPANTS IN THE STATE STREET SALARY SAVINGS PROGRAM (THE "PLAN") WHO PURPORTED TO ASSERT CLAIMS UNDER THE
EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974, AS AMENDED ("ERISA") ON BEHALF OF THEMSELVES AND ALL OTHERS SIMILARLY SITUATED.
PLAINTIFFS ALLEGE THAT DEFENDANTS STATE STREET CORPORATION, STATE STREET BANK & TRUST COMPANY AND THE NORTH AMERICA REGIONAL
BENEFITS COMMITTEE OF STATE STREET CORPORATION (CURRENTLY KNOWN AS UNITED STATES BENEFITS COMMITTEE OF STATE STREET
CORPORATION) BREACHED FIDUCIARY DUTIES AND ENGAGED IN PROHIBITED TRANSACTIONS UNDER ERISA WITH RESPECT TO THE PLAN'S
INVESTMENT OPTIONS AND ADMINISTRATIVE FEES. PLAINTIFFS ASSERT FIVES CAUSES OF ACTION UNDER ERISA FOR (I) BREACH OF THE DUTIES OF
PRUDENCE AND LOYALTY; (II) BREACH OF THE DUTY TO MONITOR FIDUCIARIES; (III) PROHIBITED TRANSACTIONS WITH A PARTY-IN-INTEREST; (IV)
PROHIBITED TRANSACTIONS WITH FIDUCIARIES; AND (V) CO-FIDUCIARY LIABILITY. WE RESOLVED THIS MATTER AT A COST THAT WAS WITHIN OUR
ESTABLISHED ACCRUALS FOR LOSS CONTINGENCIES.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
STATE STREET CORPORATION
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any

event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
STATE OF TEXAS ET AL.
2.
Principal Relief Sought:
Injunction
Other Relief Sought: 
DAMAGES; RESTITUTION; COSTS AND ATTORNEYS' FEES; CIVIL PENALTIES
3.
Filing Date of Court Action (MM/DD/YYYY):
11/27/2024
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF TEXAS, TYLER DIVISION (6:24-CV-00437)
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
NOT APPLICABLE
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 12 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS,
MISSOURI, MONTANA, NEBRASKA, LOUISIANA, OKLAHOMA, WEST VIRGINIA AND WYOMING) FILED A COMPLAINT AGAINST STATE STREET CORPORATION,
BLACKROCK, INC. AND THE VANGUARD GROUP, INC. (THE "MANAGERS") ALLEGING THAT THE MANAGERS USED THEIR OWNERSHIP STAKES IN COAL
COMPANIES TO ARTIFICIALLY REDUCE COAL OUTPUT IN VIOLATION OF VARIOUS STATE AND FEDERAL ANTITRUST LAWS.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
11/27/2024
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
12. Resolution Date (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:

C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 12 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS,
MISSOURI, MONTANA, NEBRASKA, LOUISIANA, OKLAHOMA, WEST VIRGINIA AND WYOMING) FILED A COMPLAINT AGAINST STATE STREET CORPORATION,
BLACKROCK, INC. AND THE VANGUARD GROUP, INC. (THE "MANAGERS") ALLEGING THAT THE MANAGERS USED THEIR OWNERSHIP STAKES IN COAL
COMPANIES TO ARTIFICIALLY REDUCE COAL OUTPUT IN VIOLATION OF VARIOUS STATE AND FEDERAL ANTITRUST LAWS.