SEC Form 4 · accession 0000093751-19-000361
STATE STREET CORP · STT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph L Hooley
Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 4, 2019 · 6:00 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 | Mar 1, 2019 | A | 40,261 | $0.00 | A | 707,719 | D | |
| Common StockF3,F2 | Mar 1, 2019 | A | 114,065 | $0.00 | A | 821,784 | D | |
| Common StockF4,F2 | Mar 1, 2019 | F | 50,645 | $72.80 | D | 771,139 | D | |
| Common StockF5 | holding | — | — | — | 2,525 | I | 401 (k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units granted pursuant to State Street Corporation 2017 Stock Incentive Plan.
- F2The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
- F3Settlement of a performance award granted on February 29, 2016 as part of 2015 compensation.
- F4These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 29, 2016 as part of 2015 compensation.
- F5The 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 February 28, 2019. 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.