0000093751-17-000015.txt : 20170123 0000093751-17-000015.hdr.sgml : 20170123 20170123160949 ACCESSION NUMBER: 0000093751-17-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170119 FILED AS OF DATE: 20170123 DATE AS OF CHANGE: 20170123 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: Phalen James S CENTRAL INDEX KEY: 0001318370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07511 FILM NUMBER: 17541149 MAIL ADDRESS: STREET 1: STATE STREET CORPORATION STREET 2: ONE LINCOLN ST CITY: BOSTON STATE: MA ZIP: 02111 4 1 wf-form4_148520577636762.xml FORM 4 X0306 4 2017-01-19 1 0000093751 STATE STREET CORP STT 0001318370 Phalen James S STATE STREET CORPORATION ONE LINCOLN STREET BOSTON MA 02111 0 1 0 0 Vice Chairman Common Stock 2017-01-19 4 A 0 27935 0 A 366818 D Common Stock 2017-01-20 4 F 0 1122 79.01 D 365696 D Common Stock 901 I 401(k) Plan Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan. 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 vesting of previously awarded deferred stock. The 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 December 31, 2016. 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. /s/ Shannon C. Stanley, Attorney-in-fact 2017-01-23