0000093751-13-000143.txt : 20130724 0000093751-13-000143.hdr.sgml : 20130724 20130724164202 ACCESSION NUMBER: 0000093751-13-000143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130722 FILED AS OF DATE: 20130724 DATE AS OF CHANGE: 20130724 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STATE STREET CORP CENTRAL INDEX KEY: 0000093751 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 042456637 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 617 786-3000 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET Corp DATE OF NAME CHANGE: 20090218 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET CORP DATE OF NAME CHANGE: 19970424 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET BOSTON FINANCIAL CORP DATE OF NAME CHANGE: 19780525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOOLEY JOSEPH L CENTRAL INDEX KEY: 0001123847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07511 FILM NUMBER: 13984011 MAIL ADDRESS: STREET 1: STATE STREET CORPORATION STREET 2: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 4 1 wf-form4_137469851155869.xml FORM 4 X0306 4 2013-07-22 0 0000093751 STATE STREET CORP STT 0001123847 HOOLEY JOSEPH L STATE STREET CORPORATION ONE LINCOLN STREET BOSTON MA 02111 1 1 0 0 Chairman, President and CEO Common Stock 2013-07-22 4 M 0 61600 49.81 A 880718 D Common Stock 2013-07-22 4 M 0 64900 44.53 A 945618 D Common Stock 2013-07-22 4 S 0 126500 69.51 D 819118 D Common Stock 2284 I 401 (k) Plan Employee Stock Option (right to buy) 49.81 2013-07-22 4 M 0 61600 49.81 D 2013-12-16 Common Stock 61600.0 0 D Employee Stock Option (right to buy) 44.53 2013-07-22 4 M 0 64900 44.53 D 2015-03-01 Common Stock 64900.0 0 D Exercise of employee option to purchase common stock exempt pursuant to Rule 16b-3. Option was scheduled to expire December 16, 2013. See Table II. The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report. Exercise of employee option to purchase common stock exempt pursuant to Rule 16b-3. Option was scheduled to expire March 1, 2015. 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 $69.46 to $69.69, 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 2,284 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of June 30, 2013. 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 annual installments commencing December 17, 2005. The option vested in four annual installments commencing March 2, 2006. /s/ Shannon C. Stanley, Attorney-in-fact 2013-07-24