-----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, HS8bJ+hoUwsTbR371Fq1Wt8OYByGdC3LnwLszCkylP2C/EnUjqEm1/clfIgoNdzz YrOriLz46/lrPrlycK7QPg== 0000093751-99-000119.txt : 19990810 0000093751-99-000119.hdr.sgml : 19990810 ACCESSION NUMBER: 0000093751-99-000119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990731 FILED AS OF DATE: 19990809 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: 99681345 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: CARTER MARSHALL N CENTRAL INDEX KEY: 0001017390 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR 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 Carter, Marshall N. 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) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman and Chief Executive Officer 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|M | |98,010 |A |31.750 | | | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |7/19/9|S | |61,765 |D |74.7276 | | | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |7/26/9|G |V|20,000 |D | |165,777 |D | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |7/26/9|G |V|20,000 |A | |50,000 |I |(1) | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |31.750 |7/19/|M | |98,010 |D |12/19|12/18|Common Stock|98,010 | |101,010 |D | | (right to buy) | |99 | | | | |/97- |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/19| | | | | | | | | | | | | | |/99 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |14.4688 |12/15| | | | |12/31|12/14|Common Stock|48,000 | | | | | (right to buy) | |/94 | | | | |/95- |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/31| | | | | | | | | | | | | | |/99 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |67.4375 |12/17| | | | |12/17|12/16|Common Stock|137,800| | | | | (right to buy) | |/98 | | | | |/99- |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |12/17| | | | | | | | | | | | | | |/01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Shares held by a member of Mr. Carter's family with respect to which Mr. Carter disclaims beneficial ownership. SIGNATURE OF REPORTING PERSON /s/Marshall N. Carter DATE 8/5/99 -----END PRIVACY-ENHANCED MESSAGE-----