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