SEC Form 4 · accession 0000093751-17-000407
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
Jun 12, 2017
Accepted (ET)
Jun 14, 2017 · 4:13 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 | 167,135 | $81.71 | A | 989,033 | D | |
| Common StockF2 | Jun 12, 2017 | D | 156,434 | $87.30 | D | 832,599 | D | |
| Common StockF3,F2 | Jun 12, 2017 | F | 5,035 | $87.30 | D | 827,564 | D | |
| Common StockF2 | Jun 13, 2017 | S | 5,666 | $87.88 | D | 821,898 | D | |
| Common StockF4 | holding | — | — | — | 2,452 | 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 RightF5 | $81.71 | Jun 12, 2017 | M | 167,135 | D | — | Feb 27, 2018 | Common Stock | 167,135 | 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 February 23, 2017.
- 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 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 May 31, 2017. 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.
- F5The stock appreciation right vested in four (4) annual installments commencing February 28, 2009.