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STATE STREET CORP — Director's Dealing 2015
Nov 14, 2015
30131_dirs_2015-11-13_c757210c-f80b-4dc3-bcba-26a82a2adc1f.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: 2015-11-11
Reporting Person: CARP JEFFREY N (EVP, CLO and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-11-11 | Common Stock | M | 71923 | $62.63 | Acquired | 466274 | Direct |
| 2015-11-11 | Common Stock | D | 62781 | $71.75 | Disposed | 403493 | Direct |
| 2015-11-11 | Common Stock | F | 4306 | $71.75 | Disposed | 399187 | Direct |
| 2015-11-12 | Common Stock | S | 4836 | $71.21 | Disposed | 394351 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-11-11 | Stock Appreciation Right | $62.63 | M | 71923 | Disposed | 2016-02-29 | Common Stock (71923.0) | Direct |
Footnotes
F1: 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.
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: These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.
F4: The stock appreciation right vested in four (4) annual installments commencing March 1, 2007.