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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 | ||||||||
3/9/2005 Stock Options $30.39 | $ 32.21 | 03/10/2008 | M(1) | 9,434 | 07/01/2007 | 03/09/2015 | Common Stock | 9,434 | (3) | 0 | D | ||||
Emp Opt-RTB-Type NQ 3/10/08 | $ 42.31 | 03/10/2008 | A | 109,412 | 03/10/2009(4) | 03/09/2018 | Common Stock | 109,412 | (3) | 109,412 | D | ||||
Performance Shares (5) | (6) | 03/10/2008 | A | 7,294 | 12/31/2010 | 03/15/2011 | Common Stock | 7,294 | (3) | 7,294 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Peetz Karen B ONE WALL STREET NEW YORK, NY 10286 |
Sr. Executive Vice President |
/s/ Arlie R. Nogay, Attorney-in-Fact | 03/12/2008 | |
**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) | Option exercise and sale pursuant to Rule 10b5-1 plan adopted October 30, 2007. |
(2) | Award of Restricted Stock pursuant to 2003 Bank of New York Long-Term Incentive Plan. Vesting (if any) based on BNY Mellon Total Shareholder Return compared to 1) peer group and 2) S&P 500 Financials Index. |
(3) | Not Applicable. |
(4) | Grant becomes exercisable in annual increments of one-fourth each beginning on this date. |
(5) | Award of Restricted Share Units pursuant to 2003 Bank of New York Long-Term Incentive Plan. Payable in an amount (if any) based on BNY Mellon Total Shareholder Return compared to 1) peer group and 2) S&P 500 Financials Index. Maximum amount that could be earned by Reporting Person is represented by the combination of Restricted Stock grant reported in Table I together with reported amount of this Award. |
(6) | 1-for-1. |