Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STATE STREET CORPSTT · Entity 242 | SVP, CAO and Controller | August 15, 2017 | August 17, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
STATE STREET CORP
Report date August 15, 2017 · Filed August 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,489 |
Ending reported balance
After 2017-08-16 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-08-15 · Tax withholding · Disposed 71 · Balance 11,750 F1: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. Row 2 · 2017-08-15 · Sale · Disposed 116 · Balance 11,634 Row 3 · 2017-08-16 · Sale · Disposed 145 · Balance 11,489 |
| Common StockSEC Table I · non-derivative | Indirect401 (k) Plan | 18 |
Reported balance
Holding disclosure · report date 2017-08-15 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 18 F2: The reporting person indirectly beneficially owns the indicated shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of July 31, 2017. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock.
F2: The reporting person indirectly beneficially owns the indicated shares of State Street common stock under State Street's 401(k) plan, based on a plan statement dated as of July 31, 2017. 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 16, 2017 Filed Aug 17, 2017 20:07 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 145 | $93.72 | $13,589.40 |
DisclosureSEC source: 0000093751-17-000458 · wf-form4_150300039740922.xml · nonDerivative · entry 3 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,489 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 20:07 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 116 | $93.98 | $10,901.68 |
DisclosureSEC source: 0000093751-17-000458 · wf-form4_150300039740922.xml · nonDerivative · entry 2 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,634 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 20:07 UTC | STATE STREET CORP STT · Entity 242 | Tax withholdingCommon Stock | 71 | $93.82 | $6,661.22 |
DisclosureSEC source: 0000093751-17-000458 · wf-form4_150300039740922.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,750 F1 · shares: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. Read SEC document |
| May 16, 2017 Filed May 17, 2017 20:14 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 29 | $81.81 | $2,372.49 |
DisclosureSEC source: 0000093751-17-000364 · wf-form4_149505203538185.xml · nonDerivative · entry 2 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,821 F2 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 8, 2016. Read SEC document |
| May 15, 2017 Filed May 17, 2017 20:14 UTC | STATE STREET CORP STT · Entity 242 | Tax withholdingCommon Stock | 71 | $82.79 | $5,878.09 |
DisclosureSEC source: 0000093751-17-000364 · wf-form4_149505203538185.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,850 F1 · shares: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 21:14 UTC | STATE STREET CORP STT · Entity 242 | GrantCommon Stock | 4,355 | $0.00 | $0.00 |
DisclosureSEC source: 0000093751-17-000318 · wf-form4_148840284631892.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,921 F1 · shares: Restricted stock units granted pursuant to State Street Corporation 2006 Equity Incentive Plan. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:33 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 3,719 | $80.82 | $300,569.58 |
DisclosureSEC source: 0000093751-17-000286 · wf-form4_148788561252232.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,566 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.79 through $80.84, 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. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:19 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 176 | $80.59 | $14,183.84 |
DisclosureSEC source: 0000093751-17-000274 · wf-form4_148736635598617.xml · nonDerivative · entry 2 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,285 F2 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 8, 2016. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:19 UTC | STATE STREET CORP STT · Entity 242 | Tax withholdingCommon Stock | 1,015 | $81.91 | $83,138.65 |
DisclosureSEC source: 0000093751-17-000274 · wf-form4_148736635598617.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,461 F1 · shares: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. Read SEC document |
| November 16, 2016 Filed Nov 17, 2016 21:05 UTC | STATE STREET CORP STT · Entity 242 | SaleCommon Stock | 54 | $77.58 | $4,189.32 |
DisclosureSEC source: 0000093751-16-000709 · wf-form4_147941672865597.xml · nonDerivative · entry 2 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,476 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 8, 2016. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:05 UTC | STATE STREET CORP STT · Entity 242 | Tax withholdingCommon Stock | 133 | $79.25 | $10,540.25 |
DisclosureSEC source: 0000093751-16-000709 · wf-form4_147941672865597.xml · nonDerivative · entry 1 Newth Sean P · CIK 0001623509 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,530 F1 · shares: These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded deferred stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.