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Bank of New York Mellon Corp. – ‘8-K’ for 10/16/20

On: Friday, 10/16/20, at 6:27am ET · For: 10/16/20 · Accession #: 1390777-20-89 · File #: 1-35651

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

10/16/20  Bank of New York Mellon Corp.     8-K:2,7,9  10/16/20   15:5.7M

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     35K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    157K 
 3: EX-99.2     Miscellaneous Exhibit                               HTML    473K 
 4: EX-99.3     Miscellaneous Exhibit                               HTML     33K 
11: R1          Document and Entity Information                     HTML     55K 
13: XML         IDEA XML File -- Filing Summary                      XML     13K 
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12: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
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 7: EX-101.DEF  XBRL Definitions -- bk-20201016_def                  XML     46K 
 8: EX-101.LAB  XBRL Labels -- bk-20201016_lab                       XML     94K 
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14: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    23K 
15: ZIP         XBRL Zipped Folder -- 0001390777-20-000089-xbrl      Zip    109K

‘8-K’ — Current Report

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bk-20201016

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) – i October 16, 2020

i THE BANK OF NEW YORK MELLON CORPORATION

(Exact name of registrant as specified in its charter)


i Delaware	i 001-35651	i 13-2614959
(State or other jurisdiction of incorporation)	(Commission File Number)	(I.R.S. Employer Identification No.)

i 240 Greenwich Street

i New York, i New York i 10286

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code – ( i 212) i 495-1784

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

i ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act: Title of each class	Trading symbol(s)	Name of each exchange on which registered
i Common Stock, $0.01 par value	i BK	i New York Stock Exchange
i Depositary Shares, each representing 1/4,000th of a share of Series C Noncumulative Perpetual Preferred Stock	i BK PrC	i New York Stock Exchange
i 6.244% Fixed-to-Floating Rate Normal Preferred Capital Securities of Mellon Capital IV	i BK/P	i New York Stock Exchange
(fully and unconditionally guaranteed by The Bank of New York Mellon Corporation)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).

Emerging growth company i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

ITEM 2.02. RESULTS OF OPERATIONS AND FINANCIAL CONDITION.

On October 16, 2020, The Bank of New York Mellon Corporation (“BNY Mellon”) released information on its financial results for the third quarter ended Sept. 30, 2020. Copies of the Earnings Release and the Financial Supplement are attached hereto as Exhibit 99.1 and Exhibit 99.2, respectively, and are incorporated herein by reference.

ITEM 7.01. REGULATION FD DISCLOSURE.

On October 16, 2020, BNY Mellon will hold a conference call and webcast to discuss its financial results for the third quarter ended Sept. 30, 2020 and outlook. A copy of the Financial Highlights presentation for the conference call and webcast is attached hereto as Exhibit 99.3.

ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS.

(d) EXHIBITS.


Exhibit
Number						Description

99.1						The Bank of New York Mellon Corporation Earnings Release dated October 16, 2020, announcing financial results for the third quarter of 2020.
						The quotation in Exhibit 99.1 (the “Excluded Section”) shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Exchange Act”) or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of BNY Mellon under the Securities Act of 1933 or the Exchange Act. The information included in Exhibit 99.1, other than in the Excluded Section, shall be deemed “filed” for purposes of the Exchange Act.

99.2						The Bank of New York Mellon Corporation Financial Supplement dated O ctober 1 6 , 2020, for the thir d quarter of 2020.
						The information included in Exhibit 99.2 shall be deemed “filed” for purposes of the Exchange Act.

99.3						Thir d Quarter 2020 Financial Highlights Presentation dated October 1 6 , 2020.
						The information included in Exhibit 99.3 shall not be deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of BNY Mellon under the Securities Act of 1933 or the Exchange Act.

104						Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


			The Bank of New York Mellon Corporation (Registrant)
Date: October 16, 2020			By: /s/ *James J. Killerlane III*
			Name: James J. Killerlane III Title: Secretary

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	10/16/20
	9/30/20	10-Q, 13F-HR, 13F-HR/A, 4
		List all Filings

2 Subsequent Filings that Reference this Filing

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

10/27/20  Bank of New York Mellon Corp.     424B2                  1:744K                                   Donnelley … Solutions/FA
10/26/20  Bank of New York Mellon Corp.     424B2                  1:733K                                   Donnelley … Solutions/FA

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