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