SEC Form 4 · accession 0001209191-16-101463
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
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 4:50 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 19, 2016 | A | 83,928 | $0.00 | A | 367,806 | D | |
| Common StockF2 | Feb 19, 2016 | A | 39,101 | $0.00 | A | 406,908 | D | |
| Common StockF3 | Feb 19, 2016 | F | 5,911 | $34.93 | D | 400,997 | D | |
| Common StockF3 | Feb 20, 2016 | F | 4,464 | $34.93 | D | 396,533 | D | |
| Common StockF3 | Feb 21, 2016 | F | 4,084 | $34.93 | D | 392,449 | D | |
| Common StockF4 | Feb 21, 2016 | F | 32,845 | $34.93 | D | 359,604 | 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
No Table II lines on this filing.
Explanation of responses
- F1Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the 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.
- F2Represents portion of Performance Shares Units granted in February 2013 and February 2014 (including units from reinvested dividend equivalents) for which performance goals for 2015 have been achieved, as certified on February 19, 2016. Each unit represents the right to one share of the issuer's common stock. The 2013 Performance Share Unit Award vested on February 21, 2016. The February 2014 Performance Share Unit Award is scheduled to vest in February 2017 and remains subject to risk-based adjustment provisions.
- F3Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.
- F4Shares withheld in payment of tax liability incident to vesting of 2013 Performance Share Unit Award.