SEC Form 4 · accession 0000093751-16-000663
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
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 4:10 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 | Aug 15, 2016 | F | 133 | $69.21 | D | 12,717 | D | |
| Common StockF2 | Aug 16, 2016 | S | 54 | $68.64 | D | 12,663 | D | |
| Common StockF3 | holding | — | — | — | 18 | 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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 8, 2016.
- F3The reporting person indirectly beneficially owns the indicated shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of July 31, 2016. 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.