SEC Form 4 · accession 0001209191-16-154936
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
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 4:46 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 Stock | Dec 9, 2016 | M | 86,180 | $42.83 | A | 1,089,675 | D | |
| Common StockF1 | Dec 9, 2016 | S | 86,180 | $48.4525 | D | 1,003,495 | D | |
| Common Stock | Dec 9, 2016 | M | 471,700 | $43.93 | A | 1,475,195 | D | |
| Common StockF2 | Dec 9, 2016 | S | 471,700 | $48.4573 | D | 1,003,495 | D | |
| Common Stock | Dec 9, 2016 | M | 35,896 | $44.59 | A | 1,039,391 | D | |
| Common StockF3 | Dec 9, 2016 | S | 35,896 | $48.408 | D | 1,003,495 | D | |
| Common StockF4 | holding | — | — | — | 56,604 | I | By Wife | |
| Common Stock | holding | — | — | — | 22,140 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 22,140 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 04/02/2007 Stock OptionsF6,F5 | $42.83 | Dec 9, 2016 | M | 86,180 | D | Apr 2, 2008 | Apr 2, 2017 | Common Stock | 86,180 | 0 | D |
| 06/29/2007 Stock OptionsF6,F5 | $43.93 | Dec 9, 2016 | M | 471,700 | D | Jun 29, 2008 | Jun 29, 2017 | Common Stock | 471,700 | 0 | D |
| 07/23/2007 Stock OptionsF6,F5 | $44.59 | Dec 9, 2016 | M | 35,896 | D | Jul 23, 2008 | Jul 23, 2017 | Common Stock | 35,896 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $48.35 to $48.52. 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 $48.35 to $48.595. 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 $48.335 to $48.515. 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.
- F4I disclaim beneficial ownership of these shares.
- F5Reflects the exercise by the Reporting Person of Stock Options granted as part of the Company's employee compensation program in 2007, which if not exercised were scheduled to expire on the 10 year anniversary of the grant in 2017.
- F6Not Applicable