-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CjJ4hPwdbp2Qk6F/W92N4T5+WlIbsLF1Pqxni4b25BlYd7D60OAkMeMFpgMtgfP1 tcPMJZ1e7uWsPdR4ARL3Jg== 0000093751-99-000114.txt : 19990806 0000093751-99-000114.hdr.sgml : 19990806 ACCESSION NUMBER: 0000093751-99-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990731 FILED AS OF DATE: 19990805 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-07511 FILM NUMBER: 99678279 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN ST CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6177863000 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET BOSTON FINANCIAL CORP DATE OF NAME CHANGE: 19780525 COMPANY DATA: COMPANY CONFORMED NAME: O KELLEY RONALD L CENTRAL INDEX KEY: 0001017406 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: STATE STREET CORP STREET 2: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6177863000 MAIL ADDRESS: STREET 1: STATE STREET CORP STREET 2: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 4 1 FORM 4 - 7/31/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person O'Kelley, Ronald L. State Street Corporation 225 Franklin Street Boston, MA 02110 2. Issuer Name and Ticker or Trading Symbol State Street Corporation STT 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 7/31/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President, CFO and Treasurer 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |7/19/9|P | |1,000 |A |74.500 |15,515(1) |D | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |951(2) |I |401(k) Plan | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |400 |I(3) |UGMA | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |400 |I(3) |By Daughter | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option |22.00 |12/21| | | | |12/31|12/20|Common Stock|66,000 | | | | | (right to buy) | |/95 | | | | |/96- |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/31| | | | | | | | | | | | | | |/00 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |31.750 |12/19| | | | |12/19|12/18|Common Stock|71,000 | | | | | (right to buy) | |/96 | | | | |/97- |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/19| | | | | | | | | | | | | | |/99 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |67.4375 |12/17| | | | |12/17|12/16|Common Stock|27,500 | | | | | (right to buy) | |/98 | | | | |/99- |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/17| | | | | | | | | | | | | | |/01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes DRIP shares acquired through July 1999. (2) As of last plan statement. The plan accounts for interests in units of shares and a small amount of cash. As a result the number of underlying shares may fluctuate from time to time. (3) The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purpose of Section 16 or any other purpose. SIGNATURE OF REPORTING PERSON /s/Ronald L. O'Kelley DATE 8/3/99 -----END PRIVACY-ENHANCED MESSAGE-----