SEC Form 4 · accession 0001181431-15-003211
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard F Brueckner
Officer — Sr. Executive Vice President
Period of report
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 4:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001390777
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 20, 2015 | A | 17,518 | $0.00 | A | 262,926 | D | |
| Common StockF2 | Feb 20, 2015 | A | 19,458 | $0.00 | A | 282,384 | D | |
| Common StockF3 | Feb 21, 2015 | F | 3,119 | $39.44 | D | 279,265 | D | |
| Common Stock | holding | — | — | — | 49 | I | By Wife | |
| Common Stock | holding | — | — | — | 18 | I | By Daughter | |
| Common Stock | holding | — | — | — | 16 | I | By Son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents portion of Performance Share Units granted in February 2013 and February 2014 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 20, 2015. Each unit represents the right to one share of the Issuer's common stock. These units are scheduled to vest in February 2016 (for the February 2013 award) and February 2017 (for the February 2014 award) and each award remains subject to risk-based adjustment provisions.
- F2Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.
- F3Shares withheld in payment of tax liability incident to vesting of previously disclosed awards.