State Street Corp - Statement of Changes in Beneficial Ownership (4)
March 03 2008 - 5:02PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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January 31, 2008
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Phalen James S
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2. Issuer Name
and
Ticker or Trading Symbol
STATE STREET CORP
[
STT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice President
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(Last)
(First)
(Middle)
STATE STREET CORPORATION, ONE LINCOLN STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2008
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(Street)
BOSTON, MA 02111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/28/2008
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A
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21226
(1)
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A
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$0
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131975
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D
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Common Stock
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2/28/2008
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F
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8512
(2)
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D
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$81.71
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123463
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D
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Common Stock
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2/28/2008
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A
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18204
(3)
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A
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$0
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141667
(4)
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D
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Common Stock
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790
(5)
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I
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401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Appreciation Right
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$81.71
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2/28/2008
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A
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67568
(6)
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(7)
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2/27/2018
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Common Stock
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67568
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$0
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67568
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D
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Explanation of Responses:
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(
1)
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Vesting of a performance award granted on March 1, 2006.
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(
2)
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These shares were withheld to satisfy tax withholding obligations in connection with the vesting of a performance award granted on March 1, 2006.
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(
3)
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Restricted stock award granted pursuant to State Street Corporation 2006 Equity Incentive Plan.
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(
4)
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The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
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(
5)
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The reporting person indirectly beneficially owns 790 shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of January 31, 2008. 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.
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(
6)
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Stock appreciation right granted pursuant to State Street Corporation 2006 Equity Incentive Plan.
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(
7)
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Stock appreciation right becomes exercisable in four equal annual increments commencing February 28, 2009.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Phalen James S
STATE STREET CORPORATION
ONE LINCOLN STREET
BOSTON, MA 02111
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Executive Vice President
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Signatures
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/s/ Richard P. Jacobson, Attorney-in-fact
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3/3/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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