0000093751-16-000699.txt : 20161115
0000093751-16-000699.hdr.sgml : 20161115
20161115160627
ACCESSION NUMBER: 0000093751-16-000699
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161111
FILED AS OF DATE: 20161115
DATE AS OF CHANGE: 20161115
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: STATE STREET CORP
CENTRAL INDEX KEY: 0000093751
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 042456637
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE LINCOLN STREET
CITY: BOSTON
STATE: MA
ZIP: 02111
BUSINESS PHONE: 617 786-3000
MAIL ADDRESS:
STREET 1: ONE LINCOLN STREET
CITY: BOSTON
STATE: MA
ZIP: 02111
FORMER COMPANY:
FORMER CONFORMED NAME: STATE STREET Corp
DATE OF NAME CHANGE: 20090218
FORMER COMPANY:
FORMER CONFORMED NAME: STATE STREET CORP
DATE OF NAME CHANGE: 19970424
FORMER COMPANY:
FORMER CONFORMED NAME: STATE STREET BOSTON FINANCIAL CORP
DATE OF NAME CHANGE: 19780525
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CARP JEFFREY N
CENTRAL INDEX KEY: 0001287958
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07511
FILM NUMBER: 161999753
MAIL ADDRESS:
STREET 1: STATE STREET CORPORATION
STREET 2: ONE LINCOLN STREET
CITY: BOSTON
STATE: MA
ZIP: 02111
4
1
wf-form4_147924397268793.xml
FORM 4
X0306
4
2016-11-11
0
0000093751
STATE STREET CORP
STT
0001287958
CARP JEFFREY N
STATE STREET CORPORATION
ONE LINCOLN STREET
BOSTON
MA
02111
0
1
0
0
EVP, CLO and Secretary
Common Stock
2016-11-11
4
M
0
74457
70.59
A
306874
D
Common Stock
2016-11-11
4
D
0
68931
76.25
D
237943
D
Common Stock
2016-11-11
4
F
0
2600
76.25
D
235343
D
Common Stock
2016-11-14
4
S
0
2926
77.38
D
232417
D
Stock Appreciation Right
70.59
2016-11-11
4
M
0
74457
70.59
D
2017-02-14
Common Stock
74457.0
0
D
The 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.
The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded stock appreciation right.
The stock appreciation right vested in four (4) annual installments commencing February 15, 2008.
/s/ Shannon C. Stanley, Attorney-in-fact
2016-11-15