SEC Form 4 · accession 0000093751-17-000406
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
Jun 12, 2017
Accepted (ET)
Jun 14, 2017 · 4:12 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 | Jun 12, 2017 | M | 78,347 | $81.71 | A | 312,639 | D | |
| Common StockF2 | Jun 12, 2017 | D | 73,331 | $87.30 | D | 239,308 | D | |
| Common StockF3,F2 | Jun 12, 2017 | F | 2,360 | $87.30 | D | 236,948 | D | |
| Common StockF2 | Jun 13, 2017 | S | 2,656 | $87.88 | D | 234,292 | 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 | $81.71 | Jun 12, 2017 | M | 78,347 | D | — | Feb 27, 2018 | Common Stock | 78,347 | 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 28, 2009.