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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-10/98 | $ 29.3125 | 07/01/2007 | A | 17,000 | 10/23/1999(4) | 10/22/2008 | Common Stock | 17,000 | (4) | 17,000 | D | ||||
EMP OPT-Right to Buy-Type II 10/98 | $ 29.3125 | 07/01/2007 | A | 4,250 | 10/23/1999(4) | 10/22/2008 | Common Stock | 4,250 | (4) | 4,250 | D | ||||
EMP OPT (Right to Buy) Type I 9/01 | $ 32.32 | 07/01/2007 | A | 20,000 | 09/17/2002(4) | 09/16/2011 | Common Stock | 20,000 | (4) | 20,000 | D | ||||
EMP OPT-Right to Buy -Type I 1/02 | $ 38.7 | 07/01/2007 | A | 15,839 | 01/18/2003(4) | 01/17/2012 | Common Stock | 15,839 | (4) | 15,839 | D | ||||
EMP OPT-Right to Buy -Type NQ 1/03 | $ 23.19 | 07/01/2007 | A | 170 | 01/24/2004(4) | 01/23/2013 | Common Stock | 170 | (4) | 170 | D | ||||
EMP OPT-Right to Buy-Type I 1/04 | $ 33.47 | 07/01/2007 | A | 11,791 | 01/23/2005(4) | 01/22/2014 | Common Stock | 11,791 | (4) | 11,791 | D | ||||
EMP OPT-Right to Buy-Type I 1/05 | $ 29.21 | 07/01/2007 | A | 18,658 | 01/24/2006(4) | 01/23/2015 | Common Stock | 18,658 | (4) | 18,658 | D | ||||
EMP OPT (Right to Buy) Type R 08/05 | $ 30.68 | 07/01/2007 | A | 5,861 | 08/24/2008(5) | 01/23/2013 | Common Stock | 5,861 | (5) | 5,861 | D | ||||
EMP OPT-RTB-Type NQ 01/06 | $ 35.02 | 07/01/2007 | A | 66,798 | 01/23/2007(4) | 01/22/2016 | Common Stock | 66,798 | (4) | 66,798 | D | ||||
EMP OPT-RTB-Type NQ 03/06 | $ 35.88 | 07/01/2007 | A | 124,379 | 03/13/2009(4) | 03/12/2016 | Common Stock | 124,379 | (4) | 124,379 | D | ||||
EMP OPT-Right to Buy-Type R 08/06 | $ 37.29 | 07/01/2007 | A | 2,741 | 08/18/2009(5) | 01/23/2013 | Common Stock | 2,741 | (5) | 2,741 | D | ||||
EMP OPT (Right to Buy) Type NQ 02/20/07 | $ 45.97 | 07/01/2007 | A | 101,084 | 02/20/2008(6) | 02/19/2017 | Common Stock | 101,084 | (6) | 101,084 | D | ||||
EMP OPT 02/07 Type NQS | $ 45.97 | 07/01/2007 | A | 15,041 | 07/01/2010(7) | 02/19/2017 | Common Stock | 15,041 | (7) | 15,041 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAMERE DAVID F MELLON FINANCIAL CENTER SUITE 0158 BOSTON, MA 02108 |
Vice Chairman |
/s/ Arlie R. Nogay, Attorney-in-Fact | 07/03/2007 | |
**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) | 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) | Holdings reported as of 06/30/2007. |
(3) | I disclaim beneficial ownership of these shares. |
(4) | The options, which provide for vesting in three equal annual installments beginning on the date shown, were acquired in the Merger in exchange for an equal number of MFC options. |
(5) | The options, which provide for a three-year vesting period, were acquired in the Merger in exchange for an equal number of options of MFC. |
(6) | The options, which provide for vesting in five equal annual installments beginning on the date shown, were acquired in the Merger in exchange for an equal number of MFC options. |
(7) | The options, which provide for vesting on the third anniversary of the consummation of the Merger, were acquired in the Merger in exchange for an equal number of options of MFC. |