Appleyard Ian's Form 4/A amendment
AmendedState Street Corp (STT) · filed Feb 28, 2023
- Accession no.
- 0000093751-23-000539
- Filed
- Feb 28, 2023
- Trade date
- Feb 27, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 28, 2023
This filing lists 1 non-derivative transaction. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $594.6K. It was filed 1 day after the trade.
This amendment restates part of 0000093751-23-000527 (filed Feb 28, 2023). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Appleyard IanCIK 0001740298 | Officer (EVP, CAO and Global Controller) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 27, 2023 | Common Stock | SSaleDisposed | −6,725 | $88.42F2 | −$594,624.5 | 14,494 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000093751-23-000527 (filed Feb 28, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 24, 2023 | Common Stock | AGrant or awardAcquired | +1,528 | $0.00 | $0 | 19,357 | Direct | |
| Feb 24, 2023 | Common Stock | AGrant or awardAcquired | +3,513 | $0.00 | $0 | 22,870 | Direct | |
| Feb 24, 2023 | Common Stock | FTax withholdingDisposed | −1,652 | $87.17 | −$144,004.84 | 21,218 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On February 28, 2023, the reporting person filed a Form 4 that, due to administrative error, included the incorrect transaction date of February 24, 2023. This amendment corrects the date of the transaction.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.41 through $88.44, 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.
Referenced by the price of 1 transaction in Table I.