SEC Form 4 · accession 0001181431-15-006185
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas P Gibbons
Officer — Vice Chairman & CFO
Period of report
Apr 24, 2015
Accepted (ET)
Apr 28, 2015 · 4:51 pm EDT
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 Stock | Apr 24, 2015 | M | 127,359 | $37.09 | A | 409,896 | D | |
| Common StockF1 | Apr 24, 2015 | S | 127,359 | $41.9338 | D | 282,537 | D | |
| Common Stock | holding | — | — | — | 9,739 | I | By Child #1 | |
| Common Stock | holding | — | — | — | 9,739 | I | By Child #2 | |
| Common Stock | holding | — | — | — | 9,739 | I | By Child#3 | |
| Common Stock | holding | — | — | — | 9,739 | I | By Child #4 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 03/14/2006 Stock OptionsF3,F2 | $37.09 | Apr 24, 2015 | M | 127,359 | D | Mar 14, 2007 | Mar 14, 2016 | Common Stock | 127,359 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $41.79 to $42.19. Upon request by the SEC staff, the issuer, or any security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price within this range.
- F2Grant of Stock Options under Long-Term Incentive Plan. Grant exercisable in annual installments of one-third each beginning on date indicated.
- F3Not Applicable.