STATE STREET CORP — Director's Dealing 2015

Mar 4, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: STATE STREET CORP (STT)
CIK: 0000093751
Period of Report: 2015-03-02

Reporting Person: Phalen James S (Vice Chairman)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-03-02	Common Stock	S	4836	$74.37	Disposed	361927	Direct
2015-03-02	Common Stock	G	14648	—	Disposed	347279	Direct
2015-03-02	Common Stock	M	71923	$62.63	Acquired	419202	Direct
2015-03-02	Common Stock	D	60569	$74.37	Disposed	358633	Direct
2015-03-02	Common Stock	F	5348	$74.37	Disposed	353285	Direct
2015-03-03	Common Stock	S	6006	$75.29	Disposed	347279	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-03-02	Stock Appreciation Right	$62.63	M	71923	Disposed	2016-02-29	Common Stock (71923.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	870	Indirect

Footnotes

F1: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.

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: The gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.

F4: The exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2014.

F5: These shares were withheld to satisfy tax withholding obligations in connection with the exercise of a previously awarded Stock Appreciation Right.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.080 through $75.480, inclusive. The reporting person undertakes to provide to State Street Corporation, any security holder of State Street Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F7: The reporting person indirectly beneficially owns 870 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of February 28, 2015. 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.

F8: The stock appreciation right vested in four (4) annual installments commencing March 1, 2007.