SEC Form 4 · accession 0001209191-16-120409
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
May 12, 2016
Accepted (ET)
May 16, 2016 · 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 | May 12, 2016 | M | 182,328 | $18.02 | A | 541,932 | D | |
| Common StockF1 | May 12, 2016 | S | 182,328 | $39.7706 | D | 359,604 | D | |
| Common Stock | May 12, 2016 | M | 193,726 | $30.25 | A | 553,330 | D | |
| Common StockF2 | May 12, 2016 | S | 193,726 | $39.7791 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 03/09/2009 Stock OptionsF4,F3 | $18.02 | May 12, 2016 | M | 182,328 | D | Mar 9, 2010 | Mar 9, 2019 | Common Stock | 182,328 | 0 | D |
| 03/16/2010 Stock OptionsF4,F3 | $30.25 | May 12, 2016 | M | 193,726 | D | Mar 16, 2011 | Mar 15, 2020 | Common Stock | 193,726 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $39.71 to $39.815. 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 $39.715 to $39.815. 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.
- F3Grant of Stock Options under the BNY Mellon Long-Term Incentive Plan. Grant became exercisable in annual increments of one-fourth each beginning on the date indicated.
- F4Not Applicable