James S Phalen

CIK 1318370 · Vice Chairman · last filed 2017-01-23

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$80.55M

Companies

Total Filings

Lifetime Open-Market Net

-$18.65M

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

STT price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Open-market buying and selling

by month

Dollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.

Exposure by company

latest

OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

Filer Profile

Reported Address

STATE STREET CORPORATION
ONE LINCOLN ST
BOSTON, MA 02111

Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
XLF	Vice Chairman	366,597	$59.20	$21.70M	$0	1	2017-01-23
STT	Vice Chairman	339,335	$173.41	$58.84M	-$18.65M	34	2016-03-02

Recent Filings · Page 3 of 4

35 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2011-11-03	STT	Tax (F)	−14,907	-$577.8K	EDGAR
2011-02-28	STT	Mixed	+16,097	-$238.5K	EDGAR
2011-01-20	STT	Sell (S)	−15,000	-$750.0K	EDGAR
2010-11-03	STT	Tax (F)	−14,907	-$622.7K	EDGAR
2010-02-26	STT	Mixed	−25,000	-$907.2K	EDGAR
2010-02-17	STT	Tax (F)	−2,973	-$132.7K	EDGAR
2009-10-26	STT	Grant (A)	+107,113	$0	EDGAR
2009-03-06	STT	Mixed	+13,133	-$120.3K	EDGAR
2009-02-17	STT	Tax (F)	−5,046	-$136.2K	EDGAR
2008-12-17	STT	Mixed	+1,183	$5	EDGAR

Showing 21–30 of 35

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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.