Home > Insider Trading > Filing (0000093751-15-000192)

Filing Details

Accession Number:: 0000093751-15-000192
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-08-13 16:44:38
Reporting Period:: 2015-08-11

Filing Date:: 2015-08-13
Accepted Time:: 2015-08-13 16:44:38
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 And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2015-08-11	29,000	$0.00	897,260	No	5	G	Direct
Common Stock	Acquisiton	2015-08-11	94,938	$62.63	992,198	No	4	M	Direct
Common Stock	Disposition	2015-08-11	75,803	$78.44	916,395	No	4	D	Direct
Common Stock	Disposition	2015-08-11	9,013	$78.44	907,382	No	4	F	Direct
Common Stock	Disposition	2015-08-12	9,700	$76.29	897,682	No	4	S	Direct
Common Stock	Disposition	2015-08-12	422	$77.30	897,260	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	5	G	Direct
No	4	M	Direct
No	4	D	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Appreciation Right	Disposition	2015-08-11	94,938	$62.63	94,938	$62.63

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-03-01	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,366	Indirect	401 (k) Plan

Footnotes

The gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
The exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously award Stock Appreciation Right.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.000 through $76.890, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.190 through $77.550, 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 reporting person indirectly beneficially owns 2,336 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of July 31, 2015. 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 stock appreciation right vested in four (4) annual installments commencing March 1, 2007.