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STATE STREET CORP — Director's Dealing 2012
Feb 18, 2012
30131_dirs_2012-02-17_5d77ba6c-f89a-476b-a87d-e12359c29cf8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: STATE STREET CORP (STT)
CIK: 0000093751
Period of Report: 2012-02-15
Reporting Person: Malerba James J (EVP, Corporate Controller, CAO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-15 | Common Stock | F | 3174 | $39.52 | Disposed | 28470 | Direct |
| 2012-02-16 | Common Stock | A | 30492 | — | Acquired | 58962 | Direct |
| 2012-02-16 | Common Stock | A | 868 | — | Acquired | 59830 | Direct |
| 2012-02-16 | Common Stock | F | 276 | $40.36 | Disposed | 59554 | Direct |
| 2012-02-16 | Common Stock | A | 9804 | — | Acquired | 69358 | Direct |
| 2012-02-16 | Common Stock | F | 777 | $40.36 | Disposed | 68581 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 230 | Indirect |
Footnotes
F1: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded restricted and deferred stock.
F2: Restricted stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan.
F3: Settlement of a performance award granted on February 25, 2010 as part of 2009 compensation.
F4: These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 25, 2010 as part of 2009 compensation.
F5: Settlement of a performance award granted on February 24, 2011 as part of 2010 compensation. Such settlement is in the form of a restricted time-vested stock award.
F6: These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 24, 2011 as part of 2010 compensation.
F7: The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
F8: The reporting person indirectly beneficially owns 230 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2012. 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.