SEC Form 4 · accession 0000093751-16-000635
STATE STREET CORP · STT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey N Carp
Officer — EVP, CLO and Secretary
Period of report
Jul 1, 2016
Accepted (ET)
Jul 6, 2016 · 4:07 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,F3 | Jul 1, 2016 | S | 40,200 | $53.74 | D | 297,383 | D | |
| Common StockF4,F3 | Jul 1, 2016 | S | 4,800 | $54.32 | D | 292,583 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to two Rule 10b5-1 trading plans adopted by the reporting person on August 17, 2012 and May 17, 2013.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 53.260 through 54.245, 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.
- F3The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 54.260 through 54.380, 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.