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STATE STREET CORP — Director's Dealing 2014
Feb 24, 2014
30131_dirs_2014-02-24_518c4084-9be4-419a-a6f1-445880e5eab7.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: 2014-02-20
Reporting Person: HOOLEY JOSEPH L (Director, Chairman, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-20 | Common Stock | A | 61958 | — | Acquired | 794901 | Direct |
| 2014-02-20 | Common Stock | A | 2949 | — | Acquired | 797850 | Direct |
| 2014-02-20 | Common Stock | A | 22771 | — | Acquired | 820621 | Direct |
| 2014-02-20 | Common Stock | F | 10748 | $67.82 | Disposed | 809873 | Direct |
| 2014-02-20 | Common Stock | A | 92958 | — | Acquired | 902831 | Direct |
| 2014-02-20 | Common Stock | F | 10969 | $67.82 | Disposed | 891862 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2309 | Indirect |
Footnotes
F1: Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan.
F2: The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
F3: Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan under supplemental retirement plan.
F4: Settlement of a performance award granted on February 25, 2010 as part of 2009 compensation.
F5: 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.
F6: Settlement of a performance award granted on February 21, 2013 as part of 2012 compensation. Such settlement is in the form of restricted time-vested stock units.
F7: These shares were withheld to satisfy tax withholding obligations in connection with the settlement of a performance award granted on February 21, 2013 as part of 2012 compensation.
F8: The reporting person indirectly beneficially owns 2,309 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2014. 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.