SEC Form 4 · accession 0001209191-16-147011
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
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 5:00 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 | Oct 24, 2016 | M | 79,022 | $40.40 | A | 439,610 | D | |
| Common StockF1 | Oct 24, 2016 | S | 79,022 | $43.2017 | D | 360,588 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 03/13/2007 Stock OptionsF3,F2 | $40.40 | Oct 24, 2016 | M | 79,022 | D | Mar 13, 2008 | Mar 13, 2017 | Common Stock | 79,022 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $43.12 to $43.42. 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.
- F2Grant of Stock Options under the BNY Mellon Long-Term Incentive Plan. Grant became exercisable in annual increments of one-third each beginning on the date indicated.
- F3Not Applicable