Statement of Changes in Beneficial Ownership (4)
November 19 2019 - 3:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
HOOLEY JOSEPH L |
2. Issuer Name and Ticker or Trading Symbol
STATE STREET CORP
[
STT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
STATE STREET CORPORATION, ONE LINCOLN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2019 |
(Street)
BOSTON, MA 02111
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Cash - Only Right | (1) | 10/1/2019 | | J (2) | | | 122 | (2) | (2) | Common Stock | 122.0 | (2) | 0 | I | see footnote (2) |
Cash - Only Right | (1) | 11/15/2019 | | J (2) | | | 1 | (2) | (2) | Common Stock | 1.0 | (2) | 0 | I | see footnote (2) |
Explanation of Responses: |
(1) | 1-for-1 |
(2) | These rights represent amounts settled in cash due to dividend reinvestment in connection with the previously reported retirement of the reporting person and the resulting conversion to cash of phantom securities under and in accordance with the terms of the State Street Corporation Management Supplemental Savings Plan on July 1, 2019. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HOOLEY JOSEPH L STATE STREET CORPORATION ONE LINCOLN STREET BOSTON, MA 02111 | X |
|
|
|
Signatures
|
/s/ Shannon C. Stanley, Attorney-in-fact | | 11/19/2019 |
**Signature of Reporting Person | Date |
State Street (NYSE:STT)
Historical Stock Chart
From Apr 2024 to May 2024
State Street (NYSE:STT)
Historical Stock Chart
From May 2023 to May 2024