0000093751-17-000407.txt : 20170614 0000093751-17-000407.hdr.sgml : 20170614 20170614161318 ACCESSION NUMBER: 0000093751-17-000407 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170612 FILED AS OF DATE: 20170614 DATE AS OF CHANGE: 20170614 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: 17911279 MAIL ADDRESS: STREET 1: STATE STREET CORPORATION STREET 2: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 4 1 wf-form4_149747116690242.xml FORM 4 X0306 4 2017-06-12 0 0000093751 STATE STREET CORP STT 0001123847 HOOLEY JOSEPH L STATE STREET CORPORATION ONE LINCOLN STREET BOSTON MA 02111 1 1 0 0 Chairman and CEO Common Stock 2017-06-12 4 M 0 167135 81.71 A 989033 D Common Stock 2017-06-12 4 D 0 156434 87.30 D 832599 D Common Stock 2017-06-12 4 F 0 5035 87.30 D 827564 D Common Stock 2017-06-13 4 S 0 5666 87.88 D 821898 D Common Stock 2452 I 401 (k) Plan Stock Appreciation Right 81.71 2017-06-12 4 M 0 167135 0 D 2018-02-27 Common Stock 167135.0 0 D 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. /s/ Shannon C. Stanley, Attorney-in-fact 2017-06-14