Filing Details
- Accession Number:
- 0000093751-12-000132
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-27 16:03:21
- Reporting Period:
- 2012-11-23
- Filing Date:
- 2012-11-27
- Accepted Time:
- 2012-11-27 16:03:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
93751 | State Street Corp | STT | State Commercial Banks (6022) | 042456637 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1123847 | L Joseph Hooley | State Street Corporation One Lincoln Street Boston MA 02111 | Chairman, President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-11-23 | 93,300 | $40.22 | 719,156 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-11-23 | 93,300 | $45.68 | 625,856 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-11-23 | 93,300 | $0.00 | 93,300 | $40.22 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2012-12-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,267 | Indirect | 401 (k) Plan |
Footnotes
- Exercise of employee option to purchase common stock exempt pursuant to Rule 16b-3. Option was scheduled to expire December 18, 2012. See Table II.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.578 to $45.81, inclusive. The reporting person undertakes to provide to State Street Corporation, any security holder of State Street Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
- The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- The reporting person indirectly beneficially owns 2,267 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of October 31, 2012. The plan accounts for interest in units consisting of shares of State Street common stock and a small amount of cash. As a result, the number of underlying shares may fluctuate from time to time.
- The option vested in three equal annual installments commencing December 19, 2004.