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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
EMP OPT-Right to Buy-Type NQ 3/9/09 | $ 18.02 | 03/09/2009 | A(3) | 84,151 | 03/09/2010(3) | 03/08/2019 | Common Stock | 84,151 | (4) | 84,151 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Berntsen Torry ONE WALL STREET NEW YORK, NY 10286 |
Sr. Executive Vice President |
/s/ Arlie R. Nogay, Attorney-in-Fact | 03/10/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Award of Restricted Stock pursuant to The Bank of New York Mellon Corporation Long-Term Incentive Plan. The Company may reduce, delay vesting, revoke, cancel, claw back or impose different terms and conditions, and/or pay the award in an alternate form for any individual who is one of its senior executive officers or most highly compensated employees under the American Recovery and Reinvestment Act of 2009 ("ARRA") if the Company deems it necessary or advisable to do so in order to comply with the Emergency Economic Stabilization Act of 2008 ("EESA") or other applicable law or regulation. Cliff vests on March 9, 2012. |
(2) | Represents number of shares of common stock held indirectly in employer's stock fund in The Bank of New York Company, Inc. Employee Savings and Investment Plan, a 401(k) Plan, as of December 31, 2008. |
(3) | Option grant which becomes exercisable in annual installments of one-fourth each beginning on date indicated. The Company may reduce, delay vesting, revoke, cancel, claw back or impose different terms and conditions, and/or pay the award in an alternate form for any individual who is one of its senior executive officers or most highly compensated employees under ARRA if the Company deems it necessary or advisable to do so in order to comply with EESA or other applicable law or regulation. |
(4) | Not Applicable. |