SEC Form 4 · accession 0000093751-18-000294
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
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 5:06 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 StockF1,F2 | Feb 15, 2018 | F | 35,019 | $103.96 | D | 737,122 | D | |
| Common StockF4,F2 | Feb 16, 2018 | S | 29,944 | $102.60 | D | 707,178 | D | |
| Common StockF5,F2 | Feb 16, 2018 | S | 3,624 | $103.03 | D | 703,554 | D | |
| Common StockF6 | holding | — | — | — | 2,478 | 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 balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- F3The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 17, 2017.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 101.94 through 102.92, 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 102.93 through 103.24, 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.
- F6The 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 January 31, 2018. 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.