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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Explanation
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
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
  1. 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.
  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. 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.
  4. These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously award Stock Appreciation Right.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. The stock appreciation right vested in four (4) annual installments commencing March 1, 2007.