-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K8b7HRGExC30nUrU6NflsFT5x3h20MIWEBdLV257G38WqfPEtzrRucw0p9QZlL6e fNJsBrjTqNIOTpXlAuXkQw== 0001201586-03-000004.txt : 20030128 0001201586-03-000004.hdr.sgml : 20030128 20030128163341 ACCESSION NUMBER: 0001201586-03-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030124 FILED AS OF DATE: 20030128 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MELLON FINANCIAL CORP CENTRAL INDEX KEY: 0000064782 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 251233834 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07410 FILM NUMBER: 03528167 BUSINESS ADDRESS: STREET 1: ONE MELLON BANK CTR STREET 2: 500 GRANT ST CITY: PITTSBURGH STATE: PA ZIP: 15258-0001 BUSINESS PHONE: 4122345000 FORMER COMPANY: FORMER CONFORMED NAME: MELLON NATIONAL CORP DATE OF NAME CHANGE: 19841014 FORMER COMPANY: FORMER CONFORMED NAME: MELLON BANK CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: PALERMO JAMES P CENTRAL INDEX KEY: 0001201586 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: MELLON FINANCIAL CORP. STREET 2: ONE MELLON CENTER CITY: PITTSBURGH STATE: PA ZIP: 15258 4 1 edgar.txt FORM 4 - 01-24-2003 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person James P. Palermo Mellon Financial Center MA, Boston 02108 2. Issuer Name and Ticker or Trading Symbol Mellon Financial Corporation (MEL) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Day/Year 1/24/2003 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice Chairman 7. 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|2. |2A. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Trans-|Exec- |Trans | or Disposed of (D) | Securities |ect | Beneficial Ownership | |action|ution |action| | Beneficially |(D)or | | | | | | | | A/| | Owned Following |Indir | | |Date | Date |Code|V| Amount | D | Price | Reported Trans(s)|ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |1/24/ | |A | |5329 |A | | |D | | |2003 | |1 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1/24/ | |A | |28030 |A | |66129 |D | | |2003 | |2 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | | |2073.3525 3 |I |401(k) Plan | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of |2.Con- |3. |3A. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Derivative |version |Trans- |Deemed|Trans-| rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | Security |or Exer |action | |action| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | |Execu-| | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| |ution | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | | |Date |Expir| | |ficially |Ind| | |tive | | | | | A/|Exer-|ation| Title and Number | |Owned Follow|ire| | |Secu- |(Month/|(Month| | | | D |cisa-|Date | of Shares | |ing Reported|ct | | |rity |Day/ |/Day/ |Code|V| Amount | |ble | | | |Trans- |(I)| | | |Year) |Year) | | | | | | | | |action(s) | | | ___________________________________________________________________________________________________________________________________| EMP OPT (Righ|23.19 |1/24/ 2| |A | |49400 |A |1/24/|1/23/|Common Stock|49400 | |49400 |D | | t to Buy) Typ| |003 | | | | | |04 5 |13 | | | | | | | e I 1/03 4 | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Award of Restricted Stock Pursuant to Mellon Financial Corporation Long-Term Profit Incentive Plan (1996) 2. Award of Performance Accelerated Restricted Stock pursuant to Mellon Financial Corporation Long-Term Profit Incentive Plan (1996) 3. Holdings reported as of 12/31/02. 4. Reload option rights attached. 5. Grant becomes exercisable in annual increments of one-third each beginning on this date. SIGNATURE OF REPORTING PERSON James P. Palermo Carl Krasik - Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----