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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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) |
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 | ||||||||
Common Stock (right to buy) | $ 34.79 | 07/02/2007 | D | 374 | (2) | 11/17/2013 | Common Stock | 374 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 41.45 | 07/02/2007 | D | 2,412 | (2) | 06/15/2014 | Common Stock | 2,412 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 46.9 | 07/02/2007 | D | 14,924 | (2) | 01/19/2017 | Common Stock | 14,924 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 46.9 | 07/02/2007 | D | 85,076 | (2) | 01/19/2017 | Common Stock | 85,076 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 39.19 | 07/02/2007 | D | 60,000 | (2) | 11/14/2015 | Common Stock | 60,000 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 39.19 | 07/02/2007 | D | 9,333 | (2) | 11/14/2015 | Common Stock | 9,333 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 36.97 | 07/02/2007 | D | 9,796 | (2) | 06/18/2012 | Common Stock | 9,796 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 41.03 | 07/02/2007 | D | 20,000 | (2) | 11/15/2014 | Common Stock | 20,000 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 31.09 | 07/02/2007 | D | 2,501 | (2) | 11/12/2012 | Common Stock | 2,501 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 34.79 | 07/02/2007 | D | 4,627 | (2) | 11/17/2013 | Common Stock | 4,627 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 41.45 | 07/02/2007 | D | 47,588 | (2) | 06/15/2014 | Common Stock | 47,588 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 42.66 | 07/02/2007 | D | 607 | (2) | 11/12/2012 | Common Stock | 607 | $ 0 | 0 | D | ||||
Common Stock (right to buy) | $ 42.66 | 07/02/2007 | D | 1,308 | (2) | 06/18/2012 | Common Stock | 1,308 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPINNEY JOHN N JR 200 CLARENDON STREET BOSTON, MA 02116 |
SVP, Chief Financial Officer |
John E. Henry p/a for John N. Spinney, Jr. | 07/05/2007 | |
**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) | Disposed of pursuant to the Agreement and Plan of Merger, dated 02/04/2007 among the Issuer and State Street Corporation in exchange for the right to receive 0.906 shares of State Street Corporation Common Stock. On the date of closing shares of State Street Corporation Common Stock closed at $68.70. |
(2) | This option was cancelled on 07/02/07, the date of the merger of the Issuer into State Street Bank for a cash payment of the excess of $61.9957 over the exercise price per share of Issuer common stock subject to such option. |