# EDGAR Filing Document

**Accession Number:** 0001180495
**File Stem:** 0000093751-23-000534
**Filing Date:** 2023-2
**Character Count:** 7779
**Document Hash:** 0cfd6dc236a3a964a261aefd8b4cc9ab
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000093751-23-000534.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0000093751-23-000534

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230224

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** O HANLEY RONALD P
- **CENTRAL INDEX KEY:** 0001180495

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-07511
- **FILM NUMBER:** 23686005

**MAIL ADDRESS:**
- **STREET 1:** C/O UNUM GROUP, 1 FOUNTAIN SQUARE
- **STREET 2:** LAW DEPT. 7S730
- **CITY:** CHATTANOOGA
- **STATE:** TN
- **ZIP:** 37402
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** STATE STREET CORP
- **CENTRAL INDEX KEY:** 0000093751
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **IRS NUMBER:** 042456637
- **STATE OF INCORPORATION:** MA
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** ONE LINCOLN STREET
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02111
- **BUSINESS PHONE:** 617 786-3000

**MAIL ADDRESS:**
- **STREET 1:** ONE LINCOLN STREET
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02111

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STATE STREET Corp
- **DATE OF NAME CHANGE:** 20090218

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STATE STREET CORP
- **DATE OF NAME CHANGE:** 19970424

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STATE STREET BOSTON FINANCIAL CORP
- **DATE OF NAME CHANGE:** 19780525

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a 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). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>O HANLEY RONALD P<br><sub>(Last) (First) (Middle)</sub><br>STATE STREET CORPORATION<br>ONE LINCOLN STREET<br><sub>(Street)</sub><br>BOSTON, MA 02111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-24 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chairman and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>STATE STREET CORP [ STT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-24 |  | A |  | 42103<sup>(1)</sup> | A | $0 | 259071 | D |  |
| Common Stock | 2023-02-24 |  | G | V | 11200 | D | $0 | 247871 | D |  |
| Common Stock |  |  |  |  |  |  |  | 83681<sup>(2)</sup> | I | By a Trust |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 2023 Cash Settled Restricted Stock Units | <sup>(3)</sup> | 2023-02-24 |  | A |  | 24164 |  | <sup>(4)</sup> | 2026-02-15 | Common Stock | 24164.0 | <sup>(3)</sup> | 24164 | D |  |
| 2022 Cash Settled Restricted Stock Units<sup>(5)</sup> | <sup>(3)</sup> |  |  |  |  |  |  | <sup>(6)</sup> | 2025-02-15 | Common Stock | 20127.0 |  | 20127 | D |  |
| 2021 Cash Settled Restricted Stock Units<sup>(5)</sup> | <sup>(3)</sup> |  |  |  |  |  |  | <sup>(7)</sup> | 2024-02-15 | Common Stock | 10325.0 |  | 10325 | D |  |

---

### Footnotes:

(1) Restricted stock units granted pursuant to State Street Corporation 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) Award granted on February 24, 2023 under the State Street Corporation 2017 Stock Incentive Plan. One-half of these units vest in three equal quarterly installments commencing May 15, 2023. The remaining units vest in nine equal quarterly installments commencing February 15, 2024.

(5) Represents current holdings of previously granted award. No new activity to report on this Form 4.

(6) Award granted on February 25, 2022 under the State Street Corporation 2017 Stock Incentive Plan. One-half of these units vest in three equal quarterly installments commencing May 15, 2022. The remaining units vest in nine equal quarterly installments commencing February 15, 2023.

(7) Award granted on February 26, 2021 under the State Street Corporation 2017 Stock Incentive Plan. One-half of these units vest in three equal quarterly installments commencing May 15, 2021. The remaining units vest in nine equal quarterly installments commencing February 15, 2022.

**Signature:** /s/ Shannon C. Stanley, Attorney-in-fact  
**Date:** 2023-02-28

### Remarks:

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 Number.**