0000093751-18-000294.txt : 20180220 0000093751-18-000294.hdr.sgml : 20180220 20180220170610 ACCESSION NUMBER: 0000093751-18-000294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180215 FILED AS OF DATE: 20180220 DATE AS OF CHANGE: 20180220 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: 18625624 MAIL ADDRESS: STREET 1: STATE STREET CORPORATION STREET 2: ONE LINCOLN STREET CITY: BOSTON STATE: MA ZIP: 02111 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 4 1 wf-form4_151916435525030.xml FORM 4 X0306 4 2018-02-15 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 2018-02-15 4 F 0 35019 103.96 D 737122 D Common Stock 2018-02-16 4 S 0 29944 102.60 D 707178 D Common Stock 2018-02-16 4 S 0 3624 103.03 D 703554 D Common Stock 2478 I 401 (k) Plan These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 17, 2017. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 101.94 through 102.92, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 102.93 through 103.24, 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 the indicated shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2018. 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. /s/ Shannon C. Stanley, Attorney-in-fact 2018-02-20