SEC Form 4 · accession 0000093751-15-000087

STATE STREET CORP · STT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

James S Phalen

Officer — Vice Chairman

Period of report

Mar 2, 2015

Accepted (ET)

Mar 4, 2015 · 5:25 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 Stock^F2	Mar 2, 2015	S	4,836	$74.37	D	361,927	D
Common Stock^F2	Mar 2, 2015	G	14,648	$0.00	D	347,279	D
Common Stock^F2	Mar 2, 2015	M	71,923	$62.63	A	419,202	D
Common Stock^F2	Mar 2, 2015	D	60,569	$74.37	D	358,633	D
Common Stock^F5,F2	Mar 2, 2015	F	5,348	$74.37	D	353,285	D
Common Stock^F6,F2	Mar 3, 2015	S	6,006	$75.29	D	347,279	D
Common Stock^F7	holding	—	—		—	870	I	401(k) Plan

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right^F8	$62.63	Mar 2, 2015	M	71,923	D	—	Feb 29, 2016	Common Stock	71,923	0	D

Explanation of responses

F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.
F2The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
F3The gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.
F4The exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.
F5These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.080 through $75.480, inclusive. The reporting person undertakes to provide to State Street Corporation, any security holder of State Street Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
F7The reporting person indirectly beneficially owns 870 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of February 28, 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.
F8The stock appreciation right vested in four (4) annual installments commencing March 1, 2007.