Sec Form 4 Filing - HOOLEY JOSEPH L @ STATE STREET CORP - 2019-07-01

Insider filing report for Changes in Beneficial Ownership
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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
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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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/YY)
07/01/2019
(Street)
BOSTON, MA02111
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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
Common Stock 07/01/2019 F 2,962 ( 1 ) D $ 56.69 747,363 ( 2 ) D
Common Stock 2,540 ( 3 ) I 401 (k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Cash - Only Right ( 4 ) 0 7/01/2019 J( 5 ) 14,154 ( 5 ) ( 5 ) Common Stock 14,154 ( 5 ) 0 I see footnote ( 5 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
HOOLEY JOSEPH L
STATE STREET CORPORATION
ONE LINCOLN STREET
BOSTON, MA02111
X
Signatures
/s/ Jeremy Kream, Attorney-in-fact 07/03/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares were withheld to satisfy tax withholding obligations in connection with the vesting of previously awarded restricted stock units granted pursuant to State Street Corporation 2017 Equity Incentive Plan under a supplemental retirement plan.
( 2 )The balance reflects the amount of shares beneficially owned, including shares received due to dividend reinvestment, as of the date of this report.
( 3 )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 June 30, 2019. 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.
( 4 )1-for-1
( 5 )These rights represent the right to receive cash in an amount equal to the value of the underlying phantom securities upon retirement under and in accordance with the State Street Corporation Management Supplemental Savings Plan. On July 1, 2019 these rights automatically settled in cash under the terms of the plan. The number of rights converted reflect contributions and share equivalents received due to dividend reinvestment.

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).
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