Louis D. Maiuri - 01 Aug 2023 Form 4 Insider Report for STATE STREET CORP (STT)

Signature
Shannon C. Stanley, Attorney-in-fact
Issuer symbol
STT
Transactions as of
01 Aug 2023
Net transactions value
-$633,248
Form type
4
Filing time
03 Aug 2023, 16:01:03 UTC
Previous filing
28 Feb 2023
Next filing
21 Nov 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STT Common Stock Sale $633,248 -8,800 -6.5% $71.96 127,215 01 Aug 2023 Direct F1
holding STT Common Stock 29,320 01 Aug 2023 By a spousal trust F2
holding STT Common Stock 2,543 01 Aug 2023 By a Trust F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 21, 2023.
F2 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.