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
- 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.
- The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.
- 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.
- The stock appreciation right vested in four (4) annual installments commencing February 28, 2009.
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