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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Neill Peter STATE STREET CORPORATION ONE LINCOLN STREET BOSTON, MA 02111 |
Executive Vice President |
/s/ Shannon C. Stanley, Attorney in fact | 02/25/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Stock Award granted pursuant to State Street Corporation 2006 Equity Incentive Plan. |
(2) | These shares were withheld to satisfy tax withholding obligations in connection with the stock award granted on February 21, 2013 pursuant to State Street Corporation 2006 Equity Incentive Plan. |
(3) | Restricted stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan. |
(4) | Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan under supplemental retirement plan. |
(5) | Settlement of a performance award granted on February 25, 2010 as part of 2009 compensation. |
(6) | 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. |
(7) | 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. |
(8) | 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. |
(9) | The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report. |