SEC Form 4/A · accession 0001209191-17-045760
Bank of New York Mellon Corp · BNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles W Scharf
Officer — Chief Executive Officer · Director
Period of report
Jul 17, 2017
Accepted (ET)
Jul 19, 2017 · 7:23 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 StockF1 | Jul 17, 2017 | A | 36,740 | $0.00 | A | 36,740 | D | |
| Common StockF2 | holding | — | — | — | 525 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award of Restricted Stock Units. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.
- F2These shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. These shares were omitted from the original filing.