Filing Details

Accession Number:
0000093751-17-000407
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-14 16:13:18
Reporting Period:
2017-06-12
Filing Date:
2017-06-14
Accepted Time:
2017-06-14 16:13:18
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-06-12 167,135 $81.71 989,033 No 4 M Direct
Common Stock Disposition 2017-06-12 156,434 $87.30 832,599 No 4 D Direct
Common Stock Disposition 2017-06-12 5,035 $87.30 827,564 No 4 F Direct
Common Stock Disposition 2017-06-13 5,666 $87.88 821,898 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 D Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Appreciation Right Disposition 2017-06-12 167,135 $0.00 167,135 $81.71
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-02-27 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,452 Indirect 401 (k) Plan
Footnotes
  1. The exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 23, 2017.
  2. The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
  3. These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.
  4. The reporting person indirectly beneficially owns the indicated shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of May 31, 2017. 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.
  5. The stock appreciation right vested in four (4) annual installments commencing February 28, 2009.