SEC Form 4 · accession 0001209191-17-009660
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian T Shea
Officer — Vice Chairman
Period of report
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 5:23 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 | Feb 8, 2017 | M | 80,494 | $22.03 | A | 348,486 | D | |
| Common StockF1 | Feb 8, 2017 | S | 80,494 | $45.0662 | D | 267,992 | D | |
| Common Stock | Feb 8, 2017 | M | 119,182 | $30.13 | A | 387,174 | D | |
| Common StockF1 | Feb 8, 2017 | S | 119,182 | $45.0671 | D | 267,992 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 02/23/2012 Stock OptionsF3,F2 | $22.03 | Feb 8, 2017 | M | 80,494 | D | Feb 23, 2013 | Feb 23, 2022 | Common Stock | 80,494 | 0 | D |
| 02/24/2011 Stock OptionsF3,F2 | $30.13 | Feb 8, 2017 | M | 119,182 | D | Feb 24, 2012 | Feb 24, 2021 | Common Stock | 119,182 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $44.92 to $45.16. 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 beginning on the date indicated.
- F3Not Applicable