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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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) | ||
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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 | ||||||||
| 2024 Cash Settled Restricted Stock Units | (3) | 02/23/2024 | A | 39,665 | (4) | 02/15/2027 | Common Stock | 39,665 | (3) | 39,665 | D | ||||
| 2023 Cash Settled Restricted Stock Units (5) | (3) | (6) | 02/15/2026 | Common Stock | 10,740 | 10,740 | D | ||||||||
| 2022 Cash Settled Restricted Stock Units (5) | (3) | (7) | 02/15/2025 | Common Stock | 10,064 | 10,064 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| O HANLEY RONALD P STATE STREET CORPORATION ONE CONGRESS STREET BOSTON, MA 02114 |
X | Chairman, CEO and President | ||
| /s/ Shannon C. Stanley, Attorney-in-fact | 02/27/2024 | |
| **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) | Restricted stock units granted pursuant to State Street Corporation Amended and Restated 2017 Stock Incentive Plan. |
| (2) | By a 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. |
| (3) | Each Unit is the equivalent of one share of State Street Corporation common stock. |
| (4) | Quarterly installment of award granted on February 23, 2024 with one-half of the units vesting in three equal quarterly installments commencing May 15, 2024 and remaining units vesting in nine equal quarterly installments commencing February 15, 2025. |
| (5) | Represents current holdings of previously granted award. No new activity to report on this Form 4. |
| (6) | Quarterly installment of award granted on February 24, 2023 with one-half of the units vesting in three equal quarterly installments commencing May 15, 2023 and remaining units vesting in nine equal quarterly installments commencing February 15, 2024. |
| (7) | 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. |