401k Plan data: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST plan

STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST
Plan identification number	001

STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
The employer maintaining this ESOP is an S Corporation
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STATE STREET BANK & TRUST COMPANY has sponsored the creation of one or more 401k plans.

Company Name: STATE STREET BANK & TRUST COMPANY

Employer identification number (EIN): 370533350

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 STEVE E. BACKLUND H. SCOTT SMITH 2016-05-10
001 2014-01-01
001 2013-01-01
001 2012-01-01 STEVE E BACKLUND H SCOTT SMITH 2013-07-12
001 2011-01-01 STEVE E BACKLUND H SCOTT SMITH 2012-07-13
001 2009-01-01 STEVE E BACKLUND H SCOTT SMITH 2010-07-22

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	STEVE E. BACKLUND	H. SCOTT SMITH	2016-05-10
001	2014-01-01
001	2013-01-01
001	2012-01-01	STEVE E BACKLUND	H SCOTT SMITH	2013-07-12
001	2011-01-01	STEVE E BACKLUND	H SCOTT SMITH	2012-07-13
001	2009-01-01	STEVE E BACKLUND	H SCOTT SMITH	2010-07-22

Financial Data on STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2015 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2015 401k financial data
Transfers to/from the plan	2015-07-31	$-20,758,977
Total income from all sources	2015-07-31	$908,488
Expenses. Total of all expenses incurred	2015-07-31	$2,085,022
Benefits paid (including direct rollovers)	2015-07-31	$2,083,718
Total plan assets at end of year	2015-07-31	$0
Total plan assets at beginning of year	2015-07-31	$21,935,511
Value of fidelity bond covering the plan	2015-07-31	$5,000,000
Other income received	2015-07-31	$908,488
Net income (gross income less expenses)	2015-07-31	$-1,176,534
Net plan assets at end of year (total assets less liabilities)	2015-07-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-07-31	$21,935,511
Assets. Value of employer real property	2015-07-31	$0
Total contributions received or receivable from employer(s)	2015-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-07-31	$1,304
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-07-31	$0
2014 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2014 401k financial data
Total income from all sources	2014-12-31	$1,686,662
Expenses. Total of all expenses incurred	2014-12-31	$464,466
Benefits paid (including direct rollovers)	2014-12-31	$460,670
Total plan assets at end of year	2014-12-31	$21,935,511
Total plan assets at beginning of year	2014-12-31	$20,713,315
Value of fidelity bond covering the plan	2014-12-31	$5,000,000
Total contributions received or receivable from participants	2014-12-31	$163,430
Other income received	2014-12-31	$1,405,418
Noncash contributions received	2014-12-31	$112,100
Net income (gross income less expenses)	2014-12-31	$1,222,196
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$21,935,511
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$20,713,315
Assets. Value of employer securities	2014-12-31	$3,186,890
Total contributions received or receivable from employer(s)	2014-12-31	$5,714
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$3,796
2013 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$3,138,221
Expenses. Total of all expenses incurred	2013-12-31	$1,147,371
Benefits paid (including direct rollovers)	2013-12-31	$1,144,946
Total plan assets at end of year	2013-12-31	$20,713,315
Total plan assets at beginning of year	2013-12-31	$18,722,465
Value of fidelity bond covering the plan	2013-12-31	$5,000,000
Total contributions received or receivable from participants	2013-12-31	$153,175
Expenses. Other expenses not covered elsewhere	2013-12-31	$2,425
Contributions received from other sources (not participants or employers)	2013-12-31	$6,994
Other income received	2013-12-31	$2,864,668
Noncash contributions received	2013-12-31	$112,995
Net income (gross income less expenses)	2013-12-31	$1,990,850
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$20,713,315
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$18,722,465
Assets. Value of employer securities	2013-12-31	$2,721,273
Total contributions received or receivable from employer(s)	2013-12-31	$389
2012 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$2,032,057
Expenses. Total of all expenses incurred	2012-12-31	$546,707
Benefits paid (including direct rollovers)	2012-12-31	$545,481
Total plan assets at end of year	2012-12-31	$18,722,465
Total plan assets at beginning of year	2012-12-31	$17,237,115
Value of fidelity bond covering the plan	2012-12-31	$5,000,000
Total contributions received or receivable from participants	2012-12-31	$158,874
Expenses. Other expenses not covered elsewhere	2012-12-31	$1,226
Other income received	2012-12-31	$1,761,251
Noncash contributions received	2012-12-31	$107,162
Net income (gross income less expenses)	2012-12-31	$1,485,350
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$18,722,465
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$17,237,115
Assets. Value of employer securities	2012-12-31	$2,861,172
Total contributions received or receivable from employer(s)	2012-12-31	$4,770
2011 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$140,002
Expenses. Total of all expenses incurred	2011-12-31	$664,763
Benefits paid (including direct rollovers)	2011-12-31	$662,531
Total plan assets at end of year	2011-12-31	$17,237,115
Total plan assets at beginning of year	2011-12-31	$17,761,876
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$138,741
Other income received	2011-12-31	$-111,049
Noncash contributions received	2011-12-31	$105,791
Net income (gross income less expenses)	2011-12-31	$-524,761
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$17,237,115
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$17,761,876
Assets. Value of employer securities	2011-12-31	$2,882,184
Total contributions received or receivable from employer(s)	2011-12-31	$6,519
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$2,232
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$1,952,777
Expenses. Total of all expenses incurred	2010-12-31	$678,730
Benefits paid (including direct rollovers)	2010-12-31	$677,267
Total plan assets at end of year	2010-12-31	$17,761,876
Total plan assets at beginning of year	2010-12-31	$16,487,829
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$144,837
Expenses. Other expenses not covered elsewhere	2010-12-31	$1,463
Contributions received from other sources (not participants or employers)	2010-12-31	$15,692
Other income received	2010-12-31	$1,689,738
Noncash contributions received	2010-12-31	$102,176
Net income (gross income less expenses)	2010-12-31	$1,274,047
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$17,761,876
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$16,487,829
Assets. Value of employer securities	2010-12-31	$2,879,040
Total contributions received or receivable from employer(s)	2010-12-31	$334
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST

2015: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: STATE STREET BANK & TRUST CO. PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	STATE STREET BANK & TRUST COMPANY
Employer identification number (EIN):	370533350
NAIC Classification:	522110
NAIC Description:	Commercial Banking