FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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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)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/01/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 07/01/2007 | A | 1,522.39 | A | (1) | 1,522.39 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 | ||||||||
Option - 2003 - Right to Buy | $32.11 | 07/01/2007 | A | 979 | 04/21/2004(2) | 04/20/2013 | Common Stock | 979 | (2) | 979 | D | ||||
Option - 2004 - Right to Buy | $31.18 | 07/01/2007 | A | 3,300 | 04/23/2005(2) | 04/22/2014 | Common Stock | 3,300 | (2) | 3,300 | D | ||||
Option - 2005 - Right to Buy | $27.45 | 07/01/2007 | A | 3,300 | 04/22/2006(2) | 04/21/2015 | Common Stock | 3,300 | (2) | 3,300 | D | ||||
Deferred Share Units | (3) | 07/01/2007 | A | 4,250.35 | (4) | (4) | Common Stock | 4,250.35 | (4) | 4,250.35 | D |
Explanation of Responses: |
1. Acquired in exchange for an equal number of shares of Mellon Financial Corporation ("MFC") common stock pursuant to the merger of MFC into The Bank of New York Mellon Corporation (the "Merger"). |
2. The options, which are vested, were acquired in the Merger in exchange for an equal number of MFC options. |
3. 1-for-1. |
4. The deferred share units were acquired in the Merger in exchange for an equal number of deferred share units of MFC. 2321.35 of the deferred share units vested on April 17, 2007. The remainder of the deferred share units vest on the date of BNY Mellon's 2008 Annual Meeting of Shareholders. Vested deferred share units are payable in shares of common stock on the 30th day following the grantee's termination of service as a director. Deferred share units pay dividend equivalents which are reinvested in additional deferred share units. |
/s/ Arlie R. Nogay, Attorney-in-Fact | 07/03/2007 | |
** 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 Number. |