SEC Form 4 · accession 0000093751-15-000027
STATE STREET CORP · STT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean P Newth
Officer — SVP, CAO and Controller
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000093751
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 15, 2015 | F | 451 | $76.93 | D | 6,457 | D | |
| Common StockF2,F3 | holding | — | — | — | 17 | I | 401 (k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock.
- F2The reporting person indirectly beneficially owns 17 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2015. 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.
- F3The reporting person's prior Form 4 reported an additional 1,095 shares held by a family member as indirectly held by the reporting person. Such shares were canceled for no value and are no longer indirectly held by the reporting person.