SEC Info - Bank of New York Mellon Corp - ‘10-K’ for 12/31/10

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Bank of New York Mellon Corp – ‘10-K’ for 12/31/10 – ‘XML.R27’

On: Monday, 2/28/11, at 4:16pm ET · For: 12/31/10 · Accession #: 1193125-11-49932 · File #: 0-52710

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/28/11  Bank of New York Mellon Corp      10-K       12/31/10  212:54M                                    Donnelley … Solutions/FA

Annual Report — Form 10-K — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML    481K 
 2: EX-3.2      Amended and Restated By-Laws                        HTML    118K 
 3: EX-10.134   Form of Executive Restricted Stock Agreement        HTML     79K 
 4: EX-10.135   Form of Executive Stock Option Agreement            HTML     81K 
 6: EX-13.1     All Portions of 2010 Annual Report to Shareholders  HTML   4.20M 
 7: EX-21.1     Primary Subsidiaries of the Company                 HTML    106K 
 8: EX-23.1     Consent of Kpmg LLP                                 HTML     64K 
 9: EX-24.1     Power of Attorney                                   HTML     64K 
 5: EX-12.1     Computation of Ratio of Earnings to Fixed Charges   HTML     79K 
10: EX-31.1     Section 302 CEO Certification                       HTML     64K 
11: EX-31.2     Section 302 CFO Certification                       HTML     64K 
12: EX-32.1     Section 906 CEO Certification                       HTML     57K 
13: EX-32.2     Section 906 CFO Certification                       HTML     57K 
155: XML         IDEA XML File -- Definitions and References          XML    648K  
187: XML         IDEA XML File -- Filing Summary                      XML    943K  
177: XML.R1      Document and Entity Information                      XML    265K  
178: XML.R2      Consolidated Income Statement                        XML   1.16M  
94: XML.R3      Consolidated Income Statement (Parenthetical)        XML    127K 
113: XML.R4      Consolidated Balance Sheet                           XML    795K  
151: XML.R5      Consolidated Balance Sheet (Parenthetical)           XML    209K  
145: XML.R6      Consolidated Statement of Cash Flows                 XML    858K  
200: XML.R7      Consolidated Statement of Changes in Equity          XML   3.14M  
48: XML.R8      Consolidated Statement of Changes in Equity          XML    254K 
                (Parenthetical)                                                  
144: XML.R9      Summary of significant accounting and reporting      XML    144K  
                policies                                                         
40: XML.R10     Accounting changes and new accounting guidance       XML     92K 
38: XML.R11     Acquisitions and dispositions                        XML     85K 
92: XML.R12     Discontinued operations                              XML    124K 
166: XML.R13     Securities                                           XML    424K  
98: XML.R14     Loans and asset quality                              XML    490K 
104: XML.R15     Goodwill and intangible assets                       XML    237K  
133: XML.R16     Other assets                                         XML    108K  
210: XML.R17     Deposits                                             XML     78K  
77: XML.R18     Net interest revenue                                 XML    116K 
20: XML.R19     Other noninterest expense                            XML     90K 
110: XML.R20     Restructuring charges                                XML    154K  
163: XML.R21     Income taxes                                         XML    155K  
58: XML.R22     Extraordinary (loss) - consolidation of commercial   XML     78K 
                paper conduit                                                    
152: XML.R23     Long-term debt                                       XML    124K  
105: XML.R24     Securitizations and variable interest entities       XML    141K  
199: XML.R25     Shareholders' equity                                 XML    122K  
170: XML.R26     Comprehensive results                                XML    144K  
118: XML.R27     Stock-based compensation                             XML    145K  
134: XML.R28     Employee benefit plans                               XML    526K  
36: XML.R29     Company financial information                        XML    202K 
44: XML.R30     Fair value of financial instruments                  XML    158K 
63: XML.R31     Fair value measurement                               XML    616K 
87: XML.R32     Fair value option                                    XML    101K 
132: XML.R33     Commitments and contingent liabilities               XML    148K  
169: XML.R34     Derivative instruments                               XML    217K  
27: XML.R35     Review of businesses                                 XML    259K 
50: XML.R36     International operations                             XML    126K 
181: XML.R37     Supplemental information to the Consolidated         XML     88K  
                Statement of Cash Flows                                          
197: XML.R38     Summary of significant accounting and reporting      XML    399K  
                policies (Policies)                                              
120: XML.R39     Summary of significant accounting and reporting      XML     85K  
                policies (Tables)                                                
206: XML.R40     Discontinued operations (Tables)                     XML    131K  
51: XML.R41     Securities (Tables)                                  XML    461K 
209: XML.R42     Loans and asset quality (Tables)                     XML    529K  
68: XML.R43     Goodwill and intangible assets (Tables)              XML    250K 
23: XML.R44     Other assets (Tables)                                XML    113K 
64: XML.R45     Net interest revenue (Tables)                        XML    115K 
162: XML.R46     Other noninterest expense (Tables)                   XML     89K  
194: XML.R47     Restructuring charges (Tables)                       XML    158K  
102: XML.R48     Income taxes (Tables)                                XML    180K  
72: XML.R49     Long-term debt (Tables)                              XML    128K 
131: XML.R50     Securitizations and variable interest entities       XML    149K  
                (Tables)                                                         
34: XML.R51     Shareholders' equity (Tables)                        XML    130K 
140: XML.R52     Comprehensive results (Tables)                       XML    142K  
75: XML.R53     Stock-based compensation (Tables)                    XML    163K 
47: XML.R54     Employee benefit plans (Tables)                      XML    564K 
190: XML.R55     Company financial information (Tables)               XML    208K  
183: XML.R56     Fair value of financial instruments (Tables)         XML    158K  
91: XML.R57     Fair value measurement (Tables)                      XML    605K 
55: XML.R58     Fair value option (Tables)                           XML    108K 
174: XML.R59     Commitments and contingent liabilities (Tables)      XML    132K  
43: XML.R60     Derivative instruments (Tables)                      XML    232K 
146: XML.R61     Review of businesses (Tables)                        XML    232K  
141: XML.R62     International operations (Tables)                    XML    124K  
182: XML.R63     Supplemental information to the Consolidated         XML     87K  
                Statement of Cash Flows (Tables)                                 
176: XML.R64     Summary of Significant Accounting and Reporting      XML    151K  
                Policies - Additional Information (Detail)                       
202: XML.R65     Significant Equity Method Investments (Detail)       XML    247K  
53: XML.R66     Accounting Changes and New Accounting Guidance -     XML    331K 
                Additional Information (Detail)                                  
90: XML.R67     Acquisitions and Dispositions - Additional           XML    762K 
                Information (Detail)                                             
127: XML.R68     Discontinued Operations - Additional Information     XML    115K  
                (Detail)                                                         
108: XML.R69     Summarized Financial Information for Income (Loss)   XML    289K  
                from Discontinued Operations (Detail)                            
130: XML.R70     Summarized Financial Information for Assets and      XML    216K  
                Liabilities of Discontinued Operations (Detail)                  
208: XML.R71     Amortized Cost and Fair Values of Securities         XML   2.08M  
                (Detail)                                                         
54: XML.R72     Amortized Cost and Fair Values of Securities         XML    241K 
                (Parenthetical) (Detail)                                         
69: XML.R73     Amortized Cost and Fair Values of Securities by      XML    428K 
                Contractual Maturity (Detail)                                    
62: XML.R74     Realized Gross Gains, Realized Gross Losses and      XML    148K 
                Recognized Gross Impairments on Securities                       
                (Detail)                                                         
123: XML.R75     Aggregate Fair Value of Investments with a           XML   2.05M  
                Continuous Unrealized Loss Position (Detail)                     
137: XML.R76     Projected Weighted-Average Default Rates and Loss    XML    236K  
                Severities (Detail)                                              
117: XML.R77     Pre-Tax Securities Losses by Type (Detail)           XML    600K  
103: XML.R78     Debt Securities Credit Losses Rollforward Recorded   XML    149K  
                In Earnings (Detail)                                             
52: XML.R79     Securities - Additional Information (Detail)         XML    129K 
25: XML.R80     Details of our Loan Distribution and Industry        XML    675K 
                Concentrations of Credit Risk (Detail)                           
125: XML.R81     Details of our Loan Distribution and Industry        XML    168K  
                Concentrations of Credit Risk (Parenthetical)                    
                (Detail)                                                         
89: XML.R82     Loans and asset quality - Additional Information     XML    751K 
                (Detail)                                                         
115: XML.R83     Allowance for Credit Losses Activity (Detail)        XML   1.76M  
159: XML.R84     Allowance for Credit Losses Activity                 XML    318K  
                (Parenthetical) (Detail)                                         
150: XML.R85     Nonperforming Assets and Impaired Loans (Detail)     XML    429K  
79: XML.R86     Nonperforming Assets and Impaired Loans              XML    143K 
                (Parenthetical) (Detail)                                         
165: XML.R87     Lost Interest (Detail)                               XML    127K  
147: XML.R88     Lost Interest (Parenthetical) (Detail)               XML    157K  
61: XML.R89     Information about our Impaired Loans (Detail)        XML   1.04M 
101: XML.R90     Information about our Impaired Loans                 XML    420K  
                (Parenthetical) (Detail)                                         
149: XML.R91     Information about our Past Due Loans (Detail)        XML    539K  
76: XML.R92     Information about our Past Due Loans                 XML    127K 
                (Parenthetical) (Detail)                                         
172: XML.R93     Credit Quality Indicators - Commercial Portfolio     XML    507K  
                Credit Risk Profile by Creditworthiness Category                 
                (Detail)                                                         
84: XML.R94     Credit Quality Indicators - Wealth Management        XML    281K 
                Loans and Mortgages - Credit Risk Profile by                     
                Internally Assigned Grade (Detail)                               
157: XML.R95     Goodwill and intangible assets - Additional          XML    186K  
                Information (Detail)                                             
126: XML.R96     Goodwill by Business Segment (Detail)                XML    690K  
26: XML.R97     Goodwill by Business Segment (Parenthetical)         XML     83K 
                (Detail)                                                         
82: XML.R98     Intangible Assets by Business Segment (Detail)       XML    864K 
164: XML.R99     Intangible Assets (Detail)                           XML    823K  
45: XML.R100    Estimated Annual Amortization Expense (Detail)       XML    111K 
119: XML.R101    Other Assets (Detail)                                XML    206K  
135: XML.R102    Other Assets (Parenthetical) (Detail)                XML    101K  
180: XML.R103    Seed Capital And Private Equity Investments Valued   XML    178K  
                Using NAV (Detail)                                               
212: XML.R104    Deposits - Additional Information (Detail)           XML    157K  
73: XML.R105    Net Interest Revenue (Detail)                        XML    367K 
29: XML.R106    Other Noninterest Expense (Detail)                   XML    160K 
78: XML.R107    Other Noninterest Expense (Parenthetical) (Detail)   XML    107K 
88: XML.R108    Other noninterest expense - Additional Information   XML    131K 
                (Detail)                                                         
42: XML.R109    Restructuring Charge - Additional Information        XML    311K 
                (Detail)                                                         
189: XML.R110    Activity in Restructuring Reserve (Detail)           XML    309K  
186: XML.R111    Restructuring Charges by Business Segment (Detail)   XML    744K  
33: XML.R112    Provision (Benefit) for Income Taxes from            XML    221K 
                Continuing Operations (Detail)                                   
95: XML.R113    Components of Income (Loss) before Taxes (Detail)    XML    138K 
114: XML.R114    Components of Net Deferred Tax Liability Included    XML    198K  
                in Accrued Taxes and Other Expenses (Detail)                     
154: XML.R115    Income taxes - Additional information (Detail)       XML    208K  
35: XML.R116    Reconciliation of Statutory Federal Income Tax       XML    205K 
                Rate to Effective Income Tax Rate (Detail)                       
201: XML.R117    Unrecognized Tax Positions (Detail)                  XML    212K  
128: XML.R118    Extraordinary (loss) - Consolidation of Commercial   XML    131K  
                Paper Conduits - Additional Information (Detail)                 
109: XML.R119    Long-term Debt (Detail)                              XML    388K  
32: XML.R120    Long-term Debt - Additional Information (Detail)     XML    300K 
161: XML.R121    Summary of Trust Preferred Securities Issued by      XML    241K  
                Trusts (Detail)                                                  
142: XML.R122    Summary of Trust Preferred Securities Issued by      XML     85K  
                Trusts (Parenthetical) (Detail)                                  
83: XML.R123    Incremental Assets and Liabilities of VIEs           XML    386K 
                Included in Consolidated Financial Statements                    
                (Detail)                                                         
71: XML.R124    Non-consolidated VIEs (Detail)                       XML    181K 
100: XML.R125    Financial Statement Items Related to                 XML    291K  
                Non-Consolidated VIEs Provided Credit Support                    
                Agreements (Detail)                                              
204: XML.R126    Consolidated Credit Supported VIEs (Detail)          XML    276K  
122: XML.R127    Securitizations and variable interest entities -     XML     79K  
                Additional Information (Detail)                                  
124: XML.R128    Shareholders' equity - Additional Information        XML    575K  
                (Detail)                                                         
175: XML.R129    Components of Tier 1 and Total Risk-Based Capital    XML    505K  
                (Detail)                                                         
143: XML.R130    Components of Tier 1 and Total Risk-Based Capital    XML    111K  
                (Parenthetical) (Detail)                                         
22: XML.R131    Consolidated and Largest Bank Subsidiary Capital     XML    183K 
                Ratios (Detail)                                                  
179: XML.R132    Consolidated and Largest Bank Subsidiary Capital     XML    122K  
                Ratios (Parenthetical) (Detail)                                  
65: XML.R133    Amounts of Capital by Which BNY Mellon and Our       XML    142K 
                Largest Bank Subsidiary, The Bank of New York                    
                Mellon, Exceed Well Capitalized Guidelines                       
                (Detail)                                                         
97: XML.R134    Comprehensive Results (Detail)                       XML    806K 
129: XML.R135    Comprehensive Results (Parenthetical) (Detail)       XML    522K  
112: XML.R136    Stock-based Compensation - Additional Information    XML    359K  
                (Detail)                                                         
203: XML.R137    Weighted Average Assumptions In Lattice-Based        XML    149K  
                Binomial Method (Detail)                                         
66: XML.R138    Summary Of Stock Option Activity (Detail)            XML    324K 
46: XML.R139    Stock Options Outstanding (Detail)                   XML    635K 
211: XML.R140    Stock Options Outstanding (Parenthetical) (Detail)   XML    126K  
196: XML.R141    Aggregate Intrinsic Value of Options (Detail)        XML    125K  
96: XML.R142    Nonvested Restricted Stock, RSUs and TSRs Activity   XML    161K 
                (Detail)                                                         
21: XML.R143    Combined Data For Domestic And Foreign Defined       XML    976K 
                Benefit Pension And Post Retirement Healthcare                   
                Plans (Detail)                                                   
184: XML.R144    Net Periodic Benefit Cost (Credit) (Detail)          XML    734K  
198: XML.R145    Changes In Other Comprehensive Income Loss           XML    288K  
                (Detail)                                                         
30: XML.R146    Amounts Expected to be Recognized in Net Periodic    XML    199K 
                Benefit Cost Income (Detail)                                     
74: XML.R147    Defined Benefit Plan Funded Status of Plan           XML    306K 
                (Detail)                                                         
107: XML.R148    Employee Benefit Plans - Additional Information      XML    687K  
                (Detail)                                                         
205: XML.R149    Plans With Obligations in Excess of Plan Assets      XML    193K  
                (Detail)                                                         
59: XML.R150    Pension Investment Asset Allocation (Detail)         XML    616K 
85: XML.R151    Benefit Payments For BNY Mellons Pension And         XML    317K 
                Healthcare Plans Expected To Be Paid (Detail)                    
148: XML.R152    Pension And Postretirement Plan Investment Assets    XML   1.86M  
                Measured At Fair Value On A Recurring Basis                      
                (Detail)                                                         
31: XML.R153    A Rollforward Of Plan Investment Assets Including    XML    546K 
                Change in Fair Value Classified In Level 3 Of                    
                Valuation Hierarchy (Detail)                                     
24: XML.R154    Company Financial Information - Additional           XML    274K 
                Information (Detail)                                             
160: XML.R155    Condensed Income Statement Parent Corporation        XML    515K  
                (Detail)                                                         
57: XML.R156    Condensed Income Statement Parent Corporation        XML    102K 
                (Parenthetical) (Detail)                                         
192: XML.R157    Condensed Balance Sheet Parent Corporation           XML    452K  
                (Detail)                                                         
41: XML.R158    Condensed Statement of Cash Flows Parent             XML    817K 
                Corporation (Detail)                                             
80: XML.R159    Condensed Statement of Cash Flows Parent             XML    102K 
                Corporation (Parenthetical) (Detail)                             
191: XML.R160    Fair value of financial instruments - Additional     XML    110K  
                Information (Detail)                                             
156: XML.R161    Carrying Amount And Fair Value of Financial          XML    771K  
                Instruments (Detail)                                             
195: XML.R162    Summary of Carrying Amount of Hedged Financial       XML    322K  
                Instruments, Related Notional Amount of the Hedge                
                And Estimated Fair Value of Derivatives (Detail)                 
39: XML.R163    Fair Value Measurement - Additional Information      XML    106K 
                (Detail)                                                         
37: XML.R164    Assets and Liabilities Measured at Fair Value on a   XML   4.62M 
                Recurring Basis (Detail)                                         
121: XML.R165    Details Of Certain Items Measured At Fair Value On   XML   6.08M  
                A Recurring Basis (Detail)                                       
99: XML.R166    Fair Value Measurements Using Significant            XML   1.44M 
                Unobservable Inputs (Detail)                                     
86: XML.R167    Assets Measured at Fair Value on a Nonrecurring      XML    407K 
                Basis (Detail)                                                   
171: XML.R168    Assets Measured at Fair Value on a Nonrecurring      XML    142K  
                Basis (Parenthetical) (Detail)                                   
56: XML.R169    Fair Value Option, Assets of Consolidated Asset      XML    213K 
                Management Funds at Fair Value (Detail)                          
173: XML.R170    Fair value option - Additional Information           XML    179K  
                (Detail)                                                         
139: XML.R171    Fair Value Option - Changes in Fair Value Included   XML     92K  
                in Foreign Exchange and Other Trading Activities                 
                (Detail)                                                         
138: XML.R172    Off-Balance Sheet Risks Significant Industry         XML    595K  
                Concentrations (Detail)                                          
81: XML.R173    Summary of Off-Balance Sheet Credit Transactions,    XML    281K 
                Net of Participations (Detail)                                   
136: XML.R174    Summary of Off-Balance Sheet Credit Transactions,    XML    155K  
                Net of Participations (Parenthetical) (Detail)                   
111: XML.R175    Commitments and contingent liabilities -             XML    803K  
                Additional Information (Detail)                                  
60: XML.R176    Standby Letters of Credits (SBLCs) by Investment     XML    164K 
                Grade (Detail)                                                   
49: XML.R177    Derivative instruments - Additional Information      XML    798K 
                (Detail)                                                         
93: XML.R178    Ineffectiveness Related to Derivatives and Hedging   XML    385K 
                Relationships Recorded in Income (Detail)                        
28: XML.R179    Impact of Derivative Instruments on the Balance      XML    573K 
                Sheet (Detail)                                                   
153: XML.R180    Impact of Derivative Instruments on the Balance      XML    110K  
                Sheet (Parenthetical) (Detail)                                   
207: XML.R181    Impact of Derivative Instruments on the Income       XML    487K  
                Statement (Detail)                                               
116: XML.R182    Revenue from Foreign Exchange and Other Trading      XML    340K  
                Activities (Detail)                                              
168: XML.R183    Fair Value of Derivative Contracts Falling Under     XML    149K  
                Close-Out Agreements that were in a Net Liability                
                Position (Detail)                                                
106: XML.R184    Review of businesses - Additional Information        XML    185K  
                (Detail)                                                         
67: XML.R185    Contribution of Segments to Overall Profitability    XML   1.36M 
                (Detail)                                                         
167: XML.R186    Contribution of Segments to Overall Profitability    XML    202K  
                (Parenthetical) (Detail)                                         
158: XML.R187    Foreign Revenue, Income before Income Taxes, Net     XML    610K  
                Income and Assets from Foreign Operations (Detail)               
70: XML.R188    Foreign Revenue, Income before Income Taxes, Net     XML    267K 
                Income and Assets from Foreign Operations                        
                (Parenthetical) (Detail)                                         
193: XML.R189    Noncash Investing and Financing Transactions that,   XML    160K  
                appropriately, are not Reflected in the                          
                Consolidated Statement of Cash Flows (Detail)                    
188: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS   7.09M  
14: EX-101.INS  XBRL Instance -- bk-20101231                         XML  11.42M 
16: EX-101.CAL  XBRL Calculations -- bk-20101231_cal                 XML    743K 
17: EX-101.DEF  XBRL Definitions -- bk-20101231_def                  XML   3.32M 
18: EX-101.LAB  XBRL Labels -- bk-20101231_lab                       XML   3.31M 
19: EX-101.PRE  XBRL Presentations -- bk-20101231_pre                XML   3.52M 
15: EX-101.SCH  XBRL Schema -- bk-20101231                           XSD    810K 
185: ZIP         XBRL Zipped Folder -- 0001193125-11-049932-xbrl      Zip    666K

‘XML.R27’ — Stock-based compensation

This Financial Report is an XBRL XML File.

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<div> Note 19—Stock–based compensation Our Long-Term Incentive Plans provide for the issuance of stock options, restricted stock, restricted stock units (“RSUs”) and other stock-based awards to employees of BNY Mellon. At Dec. 31, 2010, under the Long-Term Incentive Plan approved in April 2008, we may issue 33,594,759 new options. Of this amount, 18,986,212 shares may be issued as restricted stock or RSUs. Stock-based compensation expense related to retirement eligibility vesting totaled $25 million in 2010 and $16 million in 2009, respectively. Stock options Our Long-Term Incentive Plans provide for the issuance of stock options at fair market value at the date of grant to officers and employees of BNY Mellon. Generally, each option granted is exercisable between one and ten years from the date of grant. The compensation cost that has been charged against income was $87 million, $86 million and $108 million for 2010, 2009 and 2008, respectively. The total income tax benefit recognized in the income statement was $35 million, $35 million and $44 million for 2010, 2009 and 2008, respectively. We used a lattice-based binomial method to calculate the fair value on the date of grant. The fair value of each option award is estimated on the date of grant using the weighted-average assumptions noted in the following table: <table border="0" cellspacing="0" cellpadding="0" width="100%" align="center"> <tr> <td width="64%"></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="8%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="8%"></td> <td></td> <td></td> <td></td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom">Assumptions</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2010</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2009</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2008</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Dividend yield </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">2.2</td> <td valign="bottom" nowrap="nowrap">% </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">3.1</td> <td valign="bottom" nowrap="nowrap">% </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">2.2</td> <td valign="bottom" nowrap="nowrap">% </td> </tr> <tr> <td valign="top"> Expected volatility </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">32</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">34</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">27</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Risk-free interest rate </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">2.94</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">2.22</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">2.91</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Expected option lives (in years) </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">6.6</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5.9</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5.5</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> </table> For 2010 and 2009, assumptions were determined as follows: <table style="BORDER-COLLAPSE: collapse" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr> <td width="11"> </td> <td valign="top" width="22" align="left">·</td> <td valign="top" width="1"> </td> <td valign="top" align="left"> Expected volatilities are based on implied volatilities from traded options on our stock, historical volatility of our stock, and other factors. </td> </tr> </table> <table style="BORDER-COLLAPSE: collapse" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr> <td width="11"> </td> <td valign="top" width="22" align="left">·</td> <td valign="top" width="1"> </td> <td valign="top" align="left"> We use historical data to estimate option exercises and employee terminations within the valuation model. </td> </tr> </table> <table style="BORDER-COLLAPSE: collapse" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr> <td width="11"> </td> <td valign="top" width="22" align="left">·</td> <td valign="top" width="1"> </td> <td valign="top" align="left"> The risk-free rate for periods within the contractual life of the option is based on the U.S. Treasury yield curve at the time of grant. </td> </tr> </table> <table style="BORDER-COLLAPSE: collapse" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr> <td width="11"> </td> <td valign="top" width="22" align="left">·</td> <td valign="top" width="1"> </td> <td valign="top" align="left"> The expected term of options granted is derived from the output of the option valuation model and represents the period of time that options granted are expected to be outstanding. </td> </tr> </table> A summary of the status of our options as of Dec. 31, 2010, and changes during the year, is presented below: <table border="0" cellspacing="0" cellpadding="0" width="100%" align="center"> <tr> <td width="59%"></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="top">Stock option activity</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="right"> Shares subject to option </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="right"> Weighted-average exercise price </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="right"> Weighted- average remaining contractual term (in years) </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Balance at Dec. 31, 2009 </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">95,087,155</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">36.36</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"></td> <td valign="bottom"></td> <td valign="bottom"></td> </tr> <tr> <td valign="top"> Granted </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">13,745,030</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">30.25</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"></td> <td valign="bottom"></td> <td valign="bottom"></td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Exercised </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">(1,459,030</td> <td valign="bottom" nowrap="nowrap">) </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">21.58</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"></td> <td valign="bottom"></td> <td valign="bottom"></td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Canceled </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">(14,832,684</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap">) </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">39.31</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Balance at Dec. 31, 2010 </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">92,540,471</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">35.21</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5.2</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Vested and expected to vest at Dec. 31, 2010 </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">91,733,097</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">35.28</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5.2</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Exercisable at Dec. 31, 2010 </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">62,801,038</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">37.93</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">3.7</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> </table> Stock options outstanding at Dec. 31, 2010 <table border="0" cellspacing="0" cellpadding="0" width="100%" align="center"> <tr> <td></td> <td></td> <td></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> </tr> <tr> <td valign="bottom" colspan="2"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="10" align="center">Options outstanding</td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="6" align="center">Options exercisable (a)</td> <td valign="bottom"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right">Range of exercise prices</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right">Outstanding at Dec. 31, 2010</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right"> Weighted- average remaining contractual life (in years) </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right">Weighted- average exercise price</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right">Exercisable at Dec. 31, 2010</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" colspan="2" align="right">Weighted- average exercise price</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> </td> <td valign="top" align="right">$ 18 to 31</td> <td valign="top" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">37,578,663</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">6.84</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">25.13</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">15,031,644</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">25.18</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td valign="top"> </td> <td valign="top" align="right">31 to 41</td> <td valign="top" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">26,633,896</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">4.38</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">37.11</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">24,744,764</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">36.91</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> </td> <td valign="top" align="right">41 to 51</td> <td valign="top" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">23,189,116</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">4.56</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">44.51</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">17,885,834</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">44.52</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top" align="right">51 to 60</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5,138,796</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">0.12</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">57.24</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5,138,796</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">57.24</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top" align="right">$ 18 to 60</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">92,540,471</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">5.19</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">35.21</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">62,801,038</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">37.93</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> </table> <table style="BORDER-COLLAPSE: collapse" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr> <td valign="top" width="3%" align="left">(a)</td> <td valign="top" align="left">At Dec. 31, 2009 and 2008, 65,703,148 and 66,280,895 options were exercisable at an average price per common share of $38.96 and $38.71, respectively.</td> </tr> </table> <table border="0" cellspacing="0" cellpadding="0" width="100%" align="center"> <tr> <td width="63%"></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="9%"></td> <td></td> <td></td> <td></td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> Aggregate intrinsic value of options (in millions) </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2010</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2009</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="center">2008</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Outstanding at Dec. 31, </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">193</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">167</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">31</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Exercisable at Dec. 31, </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">77</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">26</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">31</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> </table> The weighted-average fair value of options at grant date was $8.38 in 2010, $4.59 in 2009 and $10.33 in 2008. The total intrinsic value of options exercised during the years ended Dec. 31, 2010, 2009 and 2008 was $12 million, $3 million and $53 million, respectively. As of Dec. 31, 2010, there was $146 million of total unrecognized compensation cost related to nonvested options. The unrecognized compensation cost is expected to be recognized over a weighted-average period of two years. Cash received from option exercises for the years ended Dec. 31, 2010, 2009 and 2008, was $31 million, $16 million and $182 million, respectively. The actual tax benefit realized for the tax deductions from options exercised totaled $1 million, $4 million and $14 million for the years ended Dec. 31, 2010, 2009 and 2008, respectively. Restricted stock, restricted stock units (“RSU”) and Total Shareholder Return awards Restricted stock and RSUs are granted under our Long-Term Incentive Plans at no cost to the recipient. These awards are subject to forfeiture until certain restrictions have lapsed, including continued employment, for a specified period. The recipient of a share of restricted stock is entitled to voting rights and generally is entitled to dividends on the common stock. An RSU entitles the recipient to receive a share of common stock after the applicable restrictions lapse. The recipient generally is entitled to receive cash payments equivalent to any dividends paid on the underlying common stock during the period the RSU is outstanding but does not receive voting rights. In March 2008, BNY Mellon granted Total Shareholder Return (“TSR”) awards. Under the terms of the TSR Performance share awards, a target award comprised of restricted stock was granted to an employee at the beginning of the three-year performance period beginning on Jan. 1, 2008 through Dec. 31, 2010. BNY Mellon’s actual TSR for the performance period is compared to the results of a peer group (weighted two-thirds) and an S&P 500 Financial Services Index (weighted one-third). Any dividends earned during the vesting period are held in escrow and are paid out at the end of the performance period along with the actual shares earned based on BNY Mellon’s performance relative to the two peer groups. There were 241,084 total TSR awards outstanding as of Dec. 31, 2010. The fair value of restricted stock, RSUs and TSRs is equal to the fair market value of our common stock on the date of grant. The expense is recognized over the vesting period of one to seven years. The total compensation expense recognized for restricted stock, RSUs and TSRs was $119 million, $124 million and $134 million recognized in 2010, 2009 and 2008, respectively. The following table summarizes our nonvested restricted stock, RSU and TSR activity for 2010. <table border="0" cellspacing="0" cellpadding="0" width="100%" align="center"> <tr> <td width="56%"></td> <td valign="bottom" width="12%"></td> <td></td> <td></td> <td></td> <td valign="bottom" width="10%"></td> <td></td> <td></td> <td></td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> Nonvested restricted stock, RSUs and TSRs activity </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="right">Number of shares</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom" colspan="2" align="right">Weighted- average fair value</td> <td style="BORDER-BOTTOM: #000000 1px solid; BORDER-TOP: #000000 1px solid" valign="bottom"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Nonvested restricted stock, RSUs and TSRs at Dec. 31, 2009 </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">10,538,540</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom">$</td> <td valign="bottom" align="right">33.48</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td valign="top"> Granted </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">4,959,756</td> <td valign="bottom" nowrap="nowrap"> </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">29.49</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td valign="top"> Vested </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">(3,427,013</td> <td valign="bottom" nowrap="nowrap">) </td> <td valign="bottom"> </td> <td valign="bottom"> </td> <td valign="bottom" align="right">40.02</td> <td valign="bottom" nowrap="nowrap"> </td> </tr> <tr> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Forfeited </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">(751,507</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap">) </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">30.31</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> <tr bgcolor="#CCEEFF"> <td style="BORDER-BOTTOM: #000000 1px solid" valign="top"> Nonvested restricted stock, RSUs and TSRs at Dec. 31, 2010 </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">11,319,776</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> </td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom"> $</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" align="right">29.96</td> <td style="BORDER-BOTTOM: #000000 1px solid" valign="bottom" nowrap="nowrap"> </td> </tr> </table> As of Dec. 31, 2010, $119 million of total unrecognized compensation costs related to nonvested restricted stock, RSUs and TSRs is expected to be recognized over a weighted-average period of approximately two years. Subsidiary Long-Term Incentive plans BNY Mellon also has several subsidiary Long-Term Incentive Plans which have issued restricted subsidiary shares to certain employees. These share awards are subject to forfeiture until certain restrictions have lapsed, including continued employment for a specified period of time. The shares are non-voting and non-dividend paying. Once the restrictions lapse, which are generally 3-5 years, the shares can only be sold, at the option of the employee, to BNY Mellon at a price based generally on the fair value of the subsidiary at the time of repurchase. In certain instances BNY Mellon has an election to call the shares. </div>

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<NonNumericTextHeader> Note 19—Stock–based compensation Our Long-Term Incentive Plans provide for the issuance of stock options, restricted stock, restricted stock </NonNumericTextHeader>

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3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/23/11  SEC                               UPLOAD¶    10/14/17    1:45K  Bank of New York Mellon Corp.
11/07/11  SEC                               UPLOAD¶    10/14/17    1:58K  Bank of New York Mellon Corp.
 7/12/11  SEC                               UPLOAD¶    10/14/17    1:63K  Bank of New York Mellon Corp.

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Filing Submission 0001193125-11-049932 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Bank of New York Mellon Corp – ‘10-K’ for 12/31/10 – ‘XML.R27’

On: Monday, 2/28/11, at 4:16pm ET · For: 12/31/10 · Accession #: 1193125-11-49932 · File #: 0-52710

Previous ‘10-K’: ‘10-K/A’ on 5/14/10 for 12/31/09 · Next: ‘10-K’ on 2/28/12 for 12/31/11 · Latest: ‘10-K’ on 2/28/24 for 12/31/23 · 3 References: By: SEC – ‘UPLOAD’ on 12/23/11 By: SEC – ‘UPLOAD’ on 11/7/11 By: SEC – ‘UPLOAD’ on 7/12/11

Annual Report — Form 10-K — Sect. 13 / 15(d) – SEA’34Filing Table of Contents

‘XML.R27’ — Stock-based compensation

This Financial Report is an XBRL XML File.

3 Subsequent Filings that Reference this Filing

Previous ‘10-K’: ‘10-K/A’ on 5/14/10 for 12/31/09 · Next: ‘10-K’ on 2/28/12 for 12/31/11 · Latest: ‘10-K’ on 2/28/24 for 12/31/23 · 3 References:

Annual Report — Form 10-K — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents