SEC Form 4 · accession 0000093751-15-000192
STATE STREET CORP · STT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph L Hooley
Officer — Chairman and CEO · Director
Period of report
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 4:44 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 StockF2 | Aug 11, 2015 | G | 29,000 | $0.00 | D | 897,260 | D | |
| Common StockF2 | Aug 11, 2015 | M | 94,938 | $62.63 | A | 992,198 | D | |
| Common StockF2 | Aug 11, 2015 | D | 75,803 | $78.44 | D | 916,395 | D | |
| Common StockF4,F2 | Aug 11, 2015 | F | 9,013 | $78.44 | D | 907,382 | D | |
| Common StockF6,F2 | Aug 12, 2015 | S | 9,700 | $76.29 | D | 897,682 | D | |
| Common StockF7,F2 | Aug 12, 2015 | S | 422 | $77.30 | D | 897,260 | D | |
| Common StockF8 | holding | — | — | — | 2,366 | 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 RightF9 | $62.63 | Aug 11, 2015 | M | 94,938 | D | — | Mar 1, 2016 | Common Stock | 94,938 | 0 | D |
Explanation of responses
- F1The gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
- F2The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- F3The exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
- F4These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously award Stock Appreciation Right.
- F5The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2015.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.000 through $76.890, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.190 through $77.550, 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.
- F8The reporting person indirectly beneficially owns 2,336 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of July 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.
- F9The stock appreciation right vested in four (4) annual installments commencing March 1, 2007.