FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
STATE STREET CORP [ STT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/16/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/16/2012 | A | 36,175(1) | A | $0 | 126,193 | D | |||
Common Stock | 02/16/2012 | F | 15,085(2) | D | $40.36 | 111,108 | D | |||
Common Stock | 02/16/2012 | A | 57,968(3) | A | $0 | 169,076 | D | |||
Common Stock | 02/16/2012 | A | 4,956(4) | A | $0 | 174,032 | D | |||
Common Stock | 02/16/2012 | A | 7,361(5) | A | $0 | 181,393 | D | |||
Common Stock | 02/16/2012 | F | 2,375(6) | D | $40.36 | 179,018 | D | |||
Common Stock | 02/16/2012 | A | 14,710(7) | A | $0 | 193,728 | D | |||
Common Stock | 02/16/2012 | F | 4,664(8) | D | $40.36 | 189,064 | D | |||
Common Stock | 02/16/2012 | A | 111,171(9) | A | $0 | 300,235 | D | |||
Common Stock | 02/16/2012 | F | 11,320(10) | D | $40.36 | 288,915(11) | D | |||
Common Stock | 6,936(12) | I | 401 (k) Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan. |
2. These shares were withheld to satisfy tax withholding obligations in connection with the stock award granted on February 16, 2012 pursuant to State Street Corporation 2006 Equity Incentive Plan. |
3. Restricted stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan. |
4. Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan under supplemental retirement plan. |
5. Settlement of an award granted on December 20, 2006 in connection with appointment to the office of Vice Chairman. |
6. These shares were withheld to satisfy tax withholding obligations in connection with the settlement of an award granted on December 20, 2006 in connection with appointment to the office of Vice Chairman. |
7. Settlement of a performance award granted on February 25, 2010 as part of 2009 compensation. |
8. These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 25, 2010 as part of 2009 compensation. |
9. Settlement of a performance award granted on February 24, 2011 as part of 2010 compensation. Such settlement is in the form of a restricted time-vested stock award. |
10. These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 24, 2011 as part of 2010 compensation. |
11. The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report. |
12. The reporting person indirectly beneficially owns 6,936 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2012. 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. |
Remarks: |
/s/ Shannon C. Stanley, Attorney-in-fact | 02/17/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |