SEC Form 4 · accession 0001209191-15-064670
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
Aug 5, 2015
Accepted (ET)
Aug 7, 2015 · 5:04 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 | Aug 5, 2015 | M | 143,058 | $18.02 | A | 341,618 | D | |
| Common StockF1 | Aug 5, 2015 | S | 143,058 | $44.4234 | D | 198,560 | D | |
| Common Stock | Aug 5, 2015 | M | 125,461 | $30.25 | A | 324,021 | D | |
| Common StockF2 | Aug 5, 2015 | S | 125,461 | $44.4354 | D | 198,560 | D | |
| Common Stock | Aug 5, 2015 | M | 51,747 | $22.03 | A | 250,307 | D | |
| Common StockF3 | Aug 5, 2015 | S | 51,747 | $44.4354 | D | 198,560 | D | |
| Common StockF4 | Aug 5, 2015 | S | 45,896 | $44.4551 | D | 152,664 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 3/9/2009 Stock OptionsF6,F5 | $18.02 | Aug 5, 2015 | M | 143,058 | D | Mar 9, 2010 | Mar 9, 2019 | Common Stock | 143,058 | 0 | D |
| 3/16/2010 Stock OptionsF6,F5 | $30.25 | Aug 5, 2015 | M | 125,461 | D | Mar 16, 2011 | Mar 16, 2020 | Common Stock | 125,461 | 0 | D |
| 2/23/2012 Stock OptionsF6,F5 | $22.03 | Aug 5, 2015 | M | 51,747 | D | Feb 23, 2013 | Feb 23, 2022 | Common Stock | 51,747 | 17,247 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $44.27 to $44.885. 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 $44.27 to $44.88. 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 $44.31 to $44.90. 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.
- F4Represents the weighted average price of shares sold with actual prices ranging from $44.3040 to $44.8838. 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.
- F5Grant became exercisable in annual installments of one-fourth each beginning on the date indicated.
- F6Not Applicable.