SEC Form 4 · accession 0001181431-15-006702
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald L Hassell
Officer — Chairman & CEO · Director
Period of report
May 6, 2015
Accepted (ET)
May 8, 2015 · 4:49 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 23, 2015 | G | 10,000 | $0.00 | D | 809,349 | D | |
| Common Stock | May 6, 2015 | M | 155,661 | $37.09 | A | 965,010 | D | |
| Common StockF1 | May 6, 2015 | S | 155,661 | $42.7921 | D | 809,349 | D | |
| Common StockF2 | holding | — | — | — | 53,853 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 82,140 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 82,140 | I | By Family Trust #2 | |
| Common StockF3 | holding | — | — | — | 56,604 | I | By Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 3/14/2006 Stock OptionsF5,F4 | $37.09 | May 6, 2015 | M | 155,661 | D | Mar 14, 2007 | Mar 14, 2016 | Common Stock | 155,661 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $42.655 to $42.96. 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.
- F2Holdings reported as of 02/13/2015.
- F3The Reporting Person disclaims beneficial ownership of these shares.
- F4Grant became exercisable in annual installments of one-third each beginning on date indicated.
- F5Not Applicable.