BAUGHMAN FREDERICK 4

Accession 0000093751-04-000006

CIK 0000093751other

Filed

Jan 25, 7:00 PM ET

Accepted

Jan 26, 3:41 PM ET

Size

32.0 KB

Accession

0000093751-04-000006

Form 4

Period: 2004-01-22

SVP, Controller & CAO

Transactions

Exercise/Conversion
Common Stock
2004-01-22$26.22/sh+6,000$157,312→ 14,920 total
Exercise/Conversion
Employee Stock Option (right to buy)
2004-01-22−4,920→ 0 total
Exercise: $8.13From: 2000-02-16Exp: 2005-02-15→ Common Stock (4,920 underlying)
Exercise/Conversion
Employee Stock Option (right to buy)
2004-01-22−4,000→ 0 total
Exercise: $13.20From: 2001-06-20Exp: 2006-06-19→ Common Stock (4,000 underlying)
Sale
Common Stock
2004-01-22$56.33/sh−7,000$394,310→ 15,920 total
Exercise/Conversion
Common Stock
2004-01-22$8.13/sh+4,920$39,975→ 4,920 total
Sale
Common Stock
2004-01-22$56.45/sh−15,600$880,620→ 320 total
Exercise/Conversion
Employee Stock Option (right to buy)
2004-01-22−6,000→ 0 total
Exercise: $26.22Exp: 2007-06-18→ Common Stock (6,000 underlying)
Exercise/Conversion
Common Stock
2004-01-22$34.16/sh+8,000$273,250→ 22,920 total
Exercise/Conversion
Employee Stock Option (right to buy)
2004-01-22−8,000→ 0 total
Exercise: $34.16Exp: 2008-06-17→ Common Stock (8,000 underlying)
Sale
Common Stock
2004-01-22$56.52/sh−320$18,086→ 0 total
Exercise/Conversion
Common Stock
2004-01-22$13.20/sh+4,000$52,812→ 8,920 total

Holdings

Employee Stock Option (right to buy)
Exercise: $40.52Exp: 2009-06-16→ Common Stock (8,886 underlying)
8,886
Common Stock
(indirect: By 401(k))
810
Common Stock
(indirect: By 401(k))
1,854
Employee Stock Option (right to buy)
Exercise: $39.56Exp: 2011-09-19→ Common Stock (10,187 underlying)
10,187
Employee Stock Option (right to buy)
Exercise: $38.85Exp: 2012-09-18→ Common Stock (10,210 underlying)
10,210
Employee Stock Option (right to buy)
Exercise: $49.70From: 2004-02-21Exp: 2012-02-20→ Common Stock (4,464 underlying)
4,464
Employee Stock Option (right to buy)
Exercise: $53.05Exp: 2010-06-14→ Common Stock (8,126 underlying)
8,126

Footnotes (7)

[F1]The reporting person indirectly beneficially owns 1,854 shares of State Street common stock through State Street Corporation's 401(k) plan, as of January 16, 2004. The plan accounts for interest in units of shares and a small amount of cash. As a result the number of underlying shares may fluctuate from time to time. The reporting person also indirectly beneficially owns 810 units of State Street common stock, as of January 16, 2004. The units were acquired under State Street Corporation's 401(k) Restoration and Voluntary Deferral Plan and will be settled upon reporting person's retirement.
[F2]Options become exercisable in 33 1/3% installments over a three-year period commencing on June 19, 1998.
[F3]Options become exercisable in 33 1/3% installments over a three-year period commencing on June 18, 1999.
[F4]Options become exercisable in 33 1/3% installments over a three-year period commencing on June 17, 2000.
[F5]Options become exercisable in 33 1/3% installments over a three-year period commencing on June 15, 2001.
[F6]Options become exercisable in 33 1/3% installments over a three-year period commencing on September 20, 2002.
[F7]Options become exercisable in 33 1/3% installments over a three-year period commencing on September 19, 2003.

Documents

1 file

STATE STREET CORP

CIK 0000093751

Entity typeother