SEC Form 4 · accession 0001209191-17-048133
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 & Director · Director
Period of report
Aug 4, 2015
Accepted (ET)
Aug 8, 2017 · 5:22 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 | Aug 4, 2017 | M | 380,916 | $42.31 | A | 1,253,522 | D | |
| Common StockF1 | Aug 4, 2017 | S | 380,916 | $54.09 | D | 872,606 | D | |
| Common Stock | Aug 7, 2017 | M | 319,803 | $30.25 | A | 1,192,409 | D | |
| Common StockF2 | Aug 7, 2017 | S | 319,803 | $53.6961 | D | 872,606 | D | |
| Common StockF3 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 03/10/2008 Stock OptionsF5,F4 | $42.31 | Aug 4, 2017 | M | 380,916 | D | Mar 10, 2009 | Mar 10, 2018 | Common Stock | 380,916 | 0 | D |
| 03/16/2010 Stock OptionsF5,F4 | $30.25 | Aug 7, 2017 | M | 319,803 | D | Mar 16, 2011 | Mar 15, 2020 | Common Stock | 319,803 | 0 | D |
Explanation of responses
- F1Represents the weighted average price of shares sold with actual prices ranging from $53.97 to $54.26. 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 $53.60 to $53.795. 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.
- F3I disclaim beneficial ownership of these shares.
- F4Stock Options granted under the BNY Mellon Long-Term Incentive Plan. Grant exercisable in annual increments beginning on the date indicated.
- F5Not Applicable