SEC Form 4 · accession 0000093751-15-000140
STATE STREET CORP · STT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph C Antonellis
Officer — Vice Chairman
Period of report
May 19, 2015
Accepted (ET)
May 21, 2015 · 6:26 pm EDT
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 | May 19, 2015 | M | 99,254 | $62.63 | A | 399,557 | D | |
| Common StockF1 | May 19, 2015 | D | 78,717 | $78.97 | D | 320,840 | D | |
| Common StockF2,F1 | May 19, 2015 | F | 9,673 | $78.97 | D | 311,167 | D | |
| Common StockF3 | holding | — | — | — | 7,321 | 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 RightF4 | $62.63 | May 19, 2015 | M | 99,254 | D | — | Mar 1, 2016 | Common Stock | 99,254 | 0 | D |
Explanation of responses
- F1The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- F2These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.
- F3The reporting person indirectly beneficially owns 7,321 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of April 30, 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.
- F4Stock Appreciation Rights became exercisable in four equal annual increments commencing March 1, 2007.