Statement of Changes in Beneficial Ownership (4)
May 17 2022 - 4:50PM
Edgar (US Regulatory)
FORM 4
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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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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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O HANLEY RONALD P |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman and CEO |
(Last)
(First)
(Middle)
STATE STREET CORPORATION, ONE LINCOLN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/4/2022 |
(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 | 4/4/2022 | | G |
V
| 83681 (1) | D | $0 | 188841 | D | |
Common Stock | 5/15/2022 | | M | | 2581 | A | $0 (2) | 191422 | D | |
Common Stock | 5/15/2022 | | D | | 2581 | D | $69.21 | 188841 | D | |
Common Stock | 5/15/2022 | | M | | 7547 | A | $0 (2) | 196388 | D | |
Common Stock | 5/15/2022 | | D | | 7547 | D | $69.21 | 188841 | D | |
Common Stock | | | | | | | | 83681 (1) | I | By a Trust |
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) | 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 |
2021 Cash Settled Restricted Stock Units | (2) | 5/15/2022 | | M | | | 2581 | (3) | 2/15/2024 | Common Stock | 2581.0 | (2) | 18068 | D | |
2022 Cash Settled Restricted Stock Units | (2) | 5/15/2022 | | M | | | 7547 | (4) | 2/15/2025 | Common Stock | 7547.0 | (2) | 37736 | D | |
Explanation of Responses: |
(1) | On April 4, 2022, the reporting person contributed 83,681 share of State Street Corporation common stock to a family trust. The reporting person continues to report beneficial ownership of STT common stock held by the trust but disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
(2) | Each Unit is the equivalent of one share of State Street Corporation common stock. |
(3) | Quarterly installment of award granted on February 26, 2021 with one-half of the units vesting in three equal quarterly installments commencing May 15, 2021 and remaining units vesting in nine equal quarterly installments commencing February 15, 2022. |
(4) | Quarterly installment of award granted on February 25, 2022 with one-half of the units vesting in three equal quarterly installments commencing May 15, 2022 and remaining units vesting in nine equal quarterly installments commencing February 15, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
O HANLEY RONALD P STATE STREET CORPORATION ONE LINCOLN STREET BOSTON, MA 02111 | X |
| Chairman and CEO |
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Signatures
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/s/ Shannon C. Stanley, Attorney-in-fact | | 5/17/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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