SEC Form 4 · accession 0001209191-16-149818

Bank of New York Mellon Corp · BNY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Karen B Peetz

Officer — President

Period of report

Nov 10, 2016

Accepted (ET)

Nov 14, 2016 · 5:42 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
Common Stock	Nov 10, 2016	M	32,580	$22.03	A	189,591	D
Common Stock^F1	Nov 10, 2016	S	32,580	$46.1806	D	157,011	D
Common Stock	Nov 10, 2016	M	52,102	$40.40	A	209,113	D
Common Stock^F2	Nov 10, 2016	S	52,102	$46.1377	D	157,011	D
Common Stock	Nov 10, 2016	M	24,198	$42.83	A	181,209	D
Common Stock^F3	Nov 10, 2016	S	24,198	$46.3063	D	157,011	D
Common Stock	Nov 10, 2016	M	8,964	$44.59	A	165,975	D
Common Stock^F4	Nov 10, 2016	S	8,964	$46.1073	D	157,011	D
Common Stock	Nov 10, 2016	M	109,412	$42.31	A	266,423	D
Common Stock^F5	Nov 10, 2016	S	109,412	$45.974	D	157,011	D
Common Stock	Nov 10, 2016	M	17,609	$34.63	A	174,620	D
Common Stock^F6	Nov 10, 2016	S	17,609	$46.2733	D	157,011	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
02/23/2012 Stock Options^F8,F7	$22.03	Nov 10, 2016	M	32,580	D	Feb 23, 2013	Feb 22, 2022	Common Stock	32,580	D
03/13/2007 Stock Options^F8,F7	$40.40	Nov 10, 2016	M	52,102	D	Mar 13, 2008	Mar 13, 2017	Common Stock	52,102	D
04/02/2007 Stock Options^F8,F7	$42.83	Nov 10, 2016	M	24,198	D	Apr 2, 2008	Apr 2, 2017	Common Stock	24,198	D
07/23/2007 Stock Options^F8,F7	$44.59	Nov 10, 2016	M	8,964	D	Jul 23, 2008	Jul 23, 2017	Common Stock	8,964	D
03/10/2008 Stock Options^F8,F7	$42.31	Nov 10, 2016	M	109,412	D	Mar 10, 2009	Mar 10, 2018	Common Stock	109,412	D
07/21/2008 Stock Options^F8,F7	$34.63	Nov 10, 2016	M	17,609	D	Jul 21, 2009	Jul 21, 2018	Common Stock	17,609	D

Explanation of responses

F1Represents the weighted average price of shares sold with actual prices ranging from $45.875 to $46.525. 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 $45.765 to $46.485. 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 $46.1401 to $46.485. 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 $45.79 to $46.44. 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.
F5Represents the weighted average price of shares sold with actual prices ranging from $45.705 to $46.485. 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.
F6Represents the weighted average price of shares sold with actual prices ranging from $46.145 to $46.495. 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.
F7Grant of Stock Options under the BNY Mellon Long-Term Incentive Plan. Grant became exercisable in annual increments beginning on the date indicated.
F8Not Applicable.