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