SEC Form 4 · accession 0001181431-15-006223
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen B Peetz
Officer — President
Period of report
Apr 27, 2015
Accepted (ET)
Apr 29, 2015 · 5:05 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 StockF1 | Apr 27, 2015 | S | 50,000 | $42.0841 | D | 186,310 | D | |
| Common Stock | Apr 27, 2015 | G | 3,550 | $0.00 | D | 182,760 | D | |
| Common Stock | Apr 27, 2015 | M | 73,001 | $30.25 | A | 255,761 | D | |
| Common Stock | Apr 27, 2015 | M | 106,072 | $30.13 | A | 361,833 | D | |
| Common StockF2 | Apr 27, 2015 | S | 73,001 | $42.2637 | D | 288,832 | D | |
| Common StockF3 | Apr 27, 2015 | S | 106,072 | $42.1833 | D | 182,760 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 03/16/2010 Stock OptionsF5,F4 | $30.25 | Apr 27, 2015 | M | 73,001 | D | Mar 16, 2011 | Mar 16, 2020 | Common Stock | 73,001 | 0 | D |
| 02/24/2011 Stock OptionsF5,F4 | $30.13 | Apr 27, 2015 | M | 106,072 | D | Mar 24, 2012 | Mar 24, 2021 | Common Stock | 106,072 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $41.95 to $42.28. 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.
- F2Represents the weighted average price of shares sold with actual prices ranging from $42.235 to $42.29. 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.
- F3Represents the weighted average price of shares sold with actual prices ranging from $42.12 to $42.29. 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.
- F4Grant of Stock Options under the BNY Mellon Long-Term Incentive Plan. Grant becomes exercisable in annual increments of one-fourth each beginning on date indicated.
- F5Not Applicable.