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STATE STREET CORP — Director's Dealing 2013
Feb 26, 2013
30131_dirs_2013-02-25_9e8604b8-fdcb-4b55-a369-04b8e901d361.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: 2013-02-21
Reporting Person: ROGERS MICHAEL F (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-21 | Common Stock | A | 54084 | — | Acquired | 852124 | Direct |
| 2013-02-21 | Common Stock | A | 3566 | — | Acquired | 855690 | Direct |
| 2013-02-21 | Common Stock | A | 1496 | — | Acquired | 857186 | Direct |
| 2013-02-21 | Common Stock | F | 707 | $56.09 | Disposed | 856479 | Direct |
| 2013-02-21 | Common Stock | A | 80890 | — | Acquired | 937369 | Direct |
| 2013-02-21 | Common Stock | F | 9545 | $56.09 | Disposed | 927824 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 102000 | Indirect |
| Common Stock | 300000 | Indirect |
Footnotes
F1: Restricted stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan.
F2: Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan under supplemental retirement 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 16, 2012 as part of 2011 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 16, 2012 as part of 2011 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: By a trust. The reporting person continues to report beneficial ownership of STT common stock held by the trust but disclaims beneficial ownership except to the extent of his pecuniary interest therein.