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BK Bank of New York Mellon Corporation

56.03
-0.46 (-0.81%)
After Hours
Last Updated: 22:16:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Bank of New York Mellon Corporation NYSE:BK NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.46 -0.81% 56.03 56.93 56.08 56.53 4,053,957 22:16:00

Statement of Changes in Beneficial Ownership (4)

16/05/2016 10:49pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

GIBBONS THOMAS P
2. Issuer Name and Ticker or Trading Symbol

Bank of New York Mellon Corp [ BK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Vice Chairman & CFO
(Last)          (First)          (Middle)

THE BANK OF NEW YORK MELLON CORPORATION, 225 LIBERTY STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

5/12/2016
(Street)

NEW YORK, NY 10286
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   5/12/2016     M    182328   A $18.02   541931.5696   D    
Common Stock   5/12/2016     S    182328   D $39.7706   (1) 359603.5696   D    
Common Stock   5/12/2016     M    193726   A $30.25   553329.5696   D    
Common Stock   5/12/2016     S    193726   D $39.7791   (2) 359603.5696   D    
Common Stock                  9739   I   By Child #1  
Common Stock                  9739   I   By Child #2  
Common Stock                  9739   I   By Child #3  
Common Stock                  9739   I   By Child #4  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
03/09/2009 Stock Options   $18.02   5/12/2016     M         182328    3/9/2010   (3) 3/9/2019   Common Stock   182328     (4) 0   D    
03/16/2010 Stock Options   $30.25   5/12/2016     M         193726    3/16/2011   (3) 3/15/2020   Common Stock   193726     (4) 0   D    

Explanation of Responses:
( 1)  Represents the weighted average price of shares sold with actual prices ranging from $39.71 to $39.815. 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.
( 2)  Represents the weighted average price of shares sold with actual prices ranging from $39.715 to $39.815. 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.
( 3)  Grant of Stock Options under the BNY Mellon Long-Term Incentive Plan. Grant became exercisable in annual increments of one-fourth each beginning on the date indicated.
( 4)  Not Applicable

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
GIBBONS THOMAS P
THE BANK OF NEW YORK MELLON CORPORATION
225 LIBERTY STREET
NEW YORK, NY 10286


Vice Chairman & CFO

Signatures
/s/ Craig T. Beazer, Attorney-in-Fact 5/16/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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