SEC Form 4 · accession 0000093751-16-000699
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
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:06 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 StockF2 | Nov 11, 2016 | M | 74,457 | $70.59 | A | 306,874 | D | |
| Common StockF2 | Nov 11, 2016 | D | 68,931 | $76.25 | D | 237,943 | D | |
| Common StockF3,F2 | Nov 11, 2016 | F | 2,600 | $76.25 | D | 235,343 | D | |
| Common StockF2 | Nov 14, 2016 | S | 2,926 | $77.38 | D | 232,417 | D |
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 | $70.59 | Nov 11, 2016 | M | 74,457 | D | — | Feb 14, 2017 | Common Stock | 74,457 | 0 | D |
Explanation of responses
- F1The exercise and sale reported in this Form 4 were 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.
- F3These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded stock appreciation right.
- F4The stock appreciation right vested in four (4) annual installments commencing February 15, 2008.