SEC Form 4 · accession 0001209191-16-147013
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
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 5:01 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 | G | 11,325 | $0.00 | D | 1,003,176 | D | |
| Common Stock | Oct 24, 2016 | M | 191,042 | $40.40 | A | 1,194,218 | D | |
| Common StockF1 | Oct 24, 2016 | S | 191,042 | $43.2159 | D | 1,003,176 | D | |
| Common StockF2 | holding | — | — | — | 56,604 | I | By Wife | |
| Common Stock | holding | — | — | — | 42,140 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 42,140 | I | By Family Trust #2 |
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 OptionsF4,F3 | $40.40 | Oct 24, 2016 | M | 191,042 | D | Mar 13, 2008 | Mar 13, 2017 | Common Stock | 191,042 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $43.17 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.
- F2I disclaim beneficial ownership of these shares.
- F3Grant 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.
- F4Not Applicable