0000750556-19-000055.txt : 20190214 0000750556-19-000055.hdr.sgml : 20190214 20190214150301 ACCESSION NUMBER: 0000750556-19-000055 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STATE STREET BANK & TRUST CO CENTRAL INDEX KEY: 0000093748 IRS NUMBER: 041867445 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-14463 FILM NUMBER: 19605070 BUSINESS ADDRESS: STREET 1: STATE STREET FINANCIAL CENTER STREET 2: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 617 786-3000 MAIL ADDRESS: STREET 1: STATE STREET FINANCIAL CENTER STREET 2: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUNTRUST BANKS INC CENTRAL INDEX KEY: 0000750556 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 581575035 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 303 PEACHTREE ST NE CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 4045887711 MAIL ADDRESS: STREET 1: 303 PEACHTREE ST NE CITY: ATLANTA STATE: GA ZIP: 30308 SC 13G 1 r13gSPDRSP500_1218.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* SPDR Portfolio S&P 500 Value Fund 78464A508 December 31, 2018 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 78464A508 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons SunTrust Banks, Inc. as Parent Holding Company for SunTrust Advisory Services, Inc. 58-1575035 2. Check the Appropriate Box if a Member of a Group (a) __________ (b) __________ 3. SEC Use Only 4. Citizenship or Place of Organization Georgia Number of 5. Sole Voting Power 75,399. Shares Beneficially 6. Shared Voting Power 0. Owned by Each 7. Sole Dispositive Power 75,399. Reporting Person With 8. Shared Dispositive Power 0. 9. Aggregate Amount Beneficially Owned by Each Reporting Person 75,399. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares* 11. Percent of Class Represented by Amount in Row (9) 12.1% 12. Type of Reporting Person* HC / IA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Item 1. (a) Name of Issuer: State Street Bank & Trust company (b) Address of Issuer's Principal Executive Offices: One Lincoln Center Boston, MA 02211 Item 2. (a) Name of Person Filing: SunTrust Banks, Inc. as Parent Holding Company for SunTrust Advisory Services, Inc. (b) Address of Principal Business Office or, if none, Residence: 303 Peachtree Street, NE Atlanta, Georgia 30308 (c) Citizenship: SunTrust Banks, Inc. is a Georgia corporation; SunTrust Advisory Services, Inc. is a Delaware corporation. (d) Title of Class of Securities: Exchange Traded Fund (e) CUSIP Number 78464A508 Item 3. If this statement is filed pursuant to SS240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [X] An investment adviser in accordance with SS240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with SS240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 75,399. (b) Percent of class: 12.1%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 75,399. (ii) Shared power to vote or to direct the vote 0. (iii) Sole power to dispose or to direct the disposition of 75,399. (iv) Shared power to dispose or to direct the disposition of 0. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 13, 2019 Date /s/ Kathryn AB Vest Signature Kathryn AB Vest / Senior Vice President Name / Title SunTrust Banks, Inc. 303 Peachtree Street Atlanta, Georgia 30308 February 13, 2019 Ladies and Gentlemen: There is hereby transmitted for filing pursuant to Section 13(g) of the Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule 13G relating to beneficial ownership by SunTrust Banks, Inc. and its subsidiaries of shares of SPDR Portfolio S&P500 Value ETF. Please call the undersigned at (804) 782-5606 if you have any questions. Sincerely, /s/ Kathryn AB Vest Senior Vice President