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As Of Filer Filing For·On·As Docs:Size 2/26/16 Bank of New York Mellon Corp 10-K 12/31/15 179:45M |
Document/Exhibit Description Pages Size 1: 10-K Annual Report HTML 291K 2: EX-10.69 The Bank of New York Mellon Corporation Defined HTML 101K Contribution Irc 401(A)(17) Plan 3: EX-10.70 Amendment to the Bank of New York Company, Inc. HTML 69K Excess Benefit Plan 5: EX-13.1 All Portions of 2015 Annual Report to Shareholders HTML 3.87M 6: EX-21.1 Primary Subsidiaries of the Company HTML 66K 7: EX-23.1 Consent of Kpmg LLP HTML 57K 8: EX-24.1 Power of Attorney HTML 60K 4: EX-12.1 Computation of Ratio of Earnings to Combined Fixed HTML 75K Charges and Preferred Stock D 9: EX-31.1 Section 302 CEO Certification HTML 57K 10: EX-31.2 Section 302 CFO Certification HTML 57K 11: EX-32.1 Section 906 CEO Certification HTML 52K 12: EX-32.2 Section 906 CFO Certification HTML 52K 19: R1 Document and Entity Information HTML 80K 20: R2 Consolidated Income Statement HTML 219K 21: R3 Consolidated Income Statement (Parenthetical) HTML 53K 22: R4 Consolidated Comprehensive Income Statement HTML 104K 23: R5 Consolidated Comprehensive Income Statement HTML 53K (Parenthetical) 24: R6 Consolidated Balance Sheet HTML 190K 25: R7 Consolidated Balance Sheet (Parenthetical) HTML 79K 26: R8 Consolidated Statement of Cash Flows HTML 204K 27: R9 Consolidated Statement of Changes in Equity HTML 131K 28: R10 Consolidated Statement of Changes in Equity HTML 56K (Parenthetical) 29: R11 Summary of significant accounting and reporting HTML 148K policies 30: R12 Accounting Changes and New Accounting Guidance HTML 63K 31: R13 Acquisitions and dispositions HTML 61K 32: R14 Securities HTML 615K 33: R15 Loans and asset quality HTML 526K 34: R16 Goodwill and Intangible Assets HTML 174K 35: R17 Other Assets HTML 99K 36: R18 Deposits HTML 55K 37: R19 Net Interest Revenue HTML 89K 38: R20 Noninterest Expense HTML 84K 39: R21 Restructuring Charges HTML 110K 40: R22 Income Taxes HTML 144K 41: R23 Long-Term Debt HTML 110K 42: R24 Securitizations and Variable Interest Entities HTML 112K 43: R25 Shareholders' Equity HTML 181K 44: R26 Other Comprehensive Income (Loss) HTML 179K 45: R27 Stock-Based Compensation HTML 123K 46: R28 Employee Benefit Plans HTML 580K 47: R29 Company Financial Information HTML 178K 48: R30 Fair Value Measurement HTML 889K 49: R31 Fair Value Option HTML 85K 50: R32 Commitments and Contingent Liabilities HTML 145K 51: R33 Derivative Instruments HTML 443K 52: R34 Lines of Businesses HTML 163K 53: R35 International Operations HTML 121K 54: R36 Supplemental information to the Consolidated HTML 69K Statement of Cash Flows 55: R37 Summary of significant accounting and reporting HTML 273K policies (Policies) 56: R38 Summary of significant accounting and reporting HTML 61K policies Summary of significant accounting and reporting policies (Tables) 57: R39 Securities (Tables) HTML 611K 58: R40 Loans and asset quality (Tables) HTML 522K 59: R41 Goodwill and Intangible Assets (Tables) HTML 170K 60: R42 Other Assets (Tables) HTML 95K 61: R43 Net Interest Revenue (Tables) HTML 89K 62: R44 Noninterest Expense (Tables) HTML 83K 63: R45 Restructuring Charges (Tables) HTML 112K 64: R46 Income Taxes (Tables) HTML 143K 65: R47 Long-Term Debt (Tables) HTML 110K 66: R48 Securitizations and Variable Interest Entities HTML 117K (Tables) 67: R49 Shareholders' Equity (Tables) HTML 161K 68: R50 Other Comprehensive Income (Loss) (Tables) HTML 178K 69: R51 Stock-Based Compensation (Tables) HTML 110K 70: R52 Employee Benefit Plans (Tables) HTML 568K 71: R53 Company Financial Information (Tables) HTML 166K 72: R54 Fair Value Measurement (Tables) HTML 860K 73: R55 Fair Value Option (Tables) HTML 84K 74: R56 Commitments and Contingent Liabilities (Tables) HTML 100K 75: R57 Derivative Instruments (Tables) HTML 430K 76: R58 Lines of Businesses (Tables) HTML 139K 77: R59 International Operations (Tables) HTML 119K 78: R60 Supplemental information to the Consolidated HTML 67K Statement of Cash Flows (Tables) 79: R61 Summary of significant accounting and reporting HTML 86K policies (Details) 80: R62 Summary of significant accounting and reporting HTML 64K policies - 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10-K |
Delaware | 13-2614959 |
(State
or other jurisdiction of | (I.R.S. Employer Identification No.) |
incorporation or organization) |
Securities registered pursuant to Section 12(b) of the Act: | |
Title of each class | Name of each exchange on which registered |
Common Stock, $0.01 par value | New York Stock Exchange |
Depositary Shares, each representing 1/4,000th of a share of Series C Noncumulative Perpetual Preferred Stock | New
York Stock Exchange |
6.244% Fixed-to-Floating Rate Normal Preferred Capital Securities of Mellon Capital IV (Fully and unconditionally guaranteed by The Bank of New York Mellon Corporation) | New York Stock Exchange |
Securities registered pursuant to Section 12(g) of the Act: | |
Title of each class | |
None |
Large accelerated filer [ X ] | Accelerated filer [ ] |
Non-accelerated filer [ ] (Do not check if a smaller reporting company) | Smaller reporting company [ ] |
• | All of our SEC filings, including annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K and all amendments to these reports, SEC Forms 3, 4 and 5 and any proxy statement mailed by us in connection with the solicitation of proxies; |
• | Financial
statements and footnotes prepared using Extensible Business Reporting Language (“XBRL”); |
• | Our earnings materials and selected management conference calls and presentations; |
• | Other regulatory disclosures, including: Pillar 3 Disclosures (and Market Risk Disclosure contained therein); Federal Financial Institutions Examination Council - Consolidated Reports of Condition and Income for a Bank With Domestic and Foreign
Offices; Consolidated Financial Statements for Bank Holding Companies; and the Dodd-Frank Act Stress Test Results for BNY Mellon and The Bank of New York Mellon; and |
• | Our Corporate Governance Guidelines, Directors Code of Conduct and the Charters of the Audit, Finance, Corporate Governance and Nominating, Corporate Social Responsibility, Human Resources and Compensation, Risk and Technology Committees of our Board of Directors. |
PART I | ||
PART II | ||
PART
III | ||
PART
IV | ||
PART I |
• | The Bank of New York Mellon, a New York state-chartered bank, which houses our Investment Services businesses, including Asset Servicing, Issuer Services, Treasury Services, Broker-Dealer and Advisor Services as well as the bank-advised business of Asset Management; and |
• | BNY
Mellon, National Association (“BNY Mellon, N.A.”), a national bank, which houses our Wealth Management business. |
I. | Distribution of Assets, Liabilities and Stockholders' Equity; Interest Rates and Interest Differential |
A. | Book Value of Investments; |
B. | Maturity Distribution and Yields of Investments; and |
C. | Aggregate
Book Value and Market Value of Investments where Issuer Exceeds 10% of Stockholders’ Equity |
A. | Types
of Loans; and |
B. | Maturities and Sensitivities of Loans to Changes in Interest Rates |
C. | Risk
Elements; and |
D. | Other Interest-bearing Assets |
PART II |
PART III |
Name
and position | Age | ||
64 | (1) | ||
Chairman | |||
and Chief
Executive Officer | |||
Karen B. Peetz | 60 | (2) | |
President | |||
Thomas
P. (Todd) Gibbons | 59 | (3) | |
Vice Chairman | |||
Chief Financial Officer | |||
Brian T. Shea | 55 | (4) | |
Vice
Chairman | |||
Mitchell E. Harris | 61 | (5) | |
Senior Executive Vice President | |||
Monique
R. Herena | 45 | (6) | |
Senior Executive Vice President | |||
J. Kevin McCarthy | 51 | (7) | |
Senior
Executive Vice President | |||
General Counsel | |||
James S. Wiener | 48 | (8) | |
Senior Executive
Vice President | |||
42 | (9) | ||
Vice President and Controller | |||
Michelle
M. Neal | 42 | (10) | |
Managing Director |
(1) | Mr. Hassell has served as Chairman and Chief Executive Officer of BNY Mellon since August 2011. Mr. Hassell also serves as Chairman and Chief Executive Officer of The Bank of New
York Mellon and BNY Mellon, N.A. From at least 2011 to December 31, 2012, Mr. Hassell served as President of BNY Mellon, The Bank of New York Mellon and BNY Mellon, N.A. |
(2) | Ms. Peetz has served as President of BNY Mellon since January 2013. Ms. Peetz also |
(3) | Mr. Gibbons has served as Vice Chairman of BNY Mellon since September 2010 and as Chief Financial Officer of BNY Mellon since at least 2011. Mr. Gibbons also serves as Vice Chairman and Chief Financial Officer of The Bank of New York Mellon and BNY Mellon, N.A. |
(4) | Mr.
Harris has served as Senior Executive Vice President of BNY Mellon since May 2011. Mr. Harris also serves as Senior Executive Vice President of The Bank of New York Mellon and BNY Mellon, N.A. |
(5) | Mr. Shea has served as Vice Chairman of BNY Mellon since June 2014. Mr. Shea also serves as Chief Executive Officer of Investment Services and Vice Chairman of The Bank of New York Mellon and BNY Mellon, N.A. From December 2012 to June 2014, Mr. Shea served as President of Investment Services, Head of the Broker Dealer and Advisor Services Group, Head of Client Service Delivery and Client Technology Solutions of BNY Mellon and Chairman of Pershing LLC. From at least 2011 to December 2012, Mr. Shea
served as Chief Executive Officer of Pershing LLC. |
(6) | Ms. Herena has served as Senior Executive Vice President and Chief Human Resources Officer of BNY Mellon since April 2014. Ms. Herena also serves as Senior Executive Vice President and Chief Human Resources Officer of The Bank of New York Mellon and BNY Mellon, N.A. From 2013 to April 2014, Ms. Herena served as Senior Vice President Human Resources and Chief Human Resources Officer Global Groups, Functions and Corporate for PepsiCo Inc., a global food and beverage firm. From at least 2011 to 2013, Ms. Herena served as Senior Vice President Human Resources and Chief Human Resources Officer for Asia, Middle East and Africa for PepsiCo. |
(7) | Mr.
McCarthy has served as Senior Executive Vice President and General Counsel of BNY Mellon since April 2014. Mr. McCarthy also |
(8) | Mr. Wiener has
served as Senior Executive Vice President and Chief Risk Officer of BNY Mellon since November 2014. Mr. Wiener also serves as Senior Executive Vice President and Chief Risk Officer of The Bank of New York Mellon and BNY Mellon, N.A. From at least 2011 to November 2014, Mr. Wiener served as a senior partner at Oliver Wyman Group, a management consulting company. |
(9) | Mr. Kurimsky has served as Controller since July 2015 and was previously Acting Controller of BNY Mellon since February 2015. From May 2014 to February 2015, Mr. Kurimsky served as Deputy Controller of BNY Mellon. Mr. Kurimsky also serves as Managing Director and Controller of The Bank of New York Mellon and BNY Mellon, N.A. From
at least 2011 to April 2014, Mr. Kurimsky served as a partner in the Financial Services Practice at KPMG LLP. |
(10) | Ms. Neal has served as Managing Director of BNY Mellon since November 2015. Ms. Neal also serves as Managing Director of The Bank of New York Mellon and BNY Mellon, N.A. From February 2014 to November 2015, Ms. Neal served as global head of listed derivatives, markets clearing and fixed income market structure at Deutsche Bank, a financial institution. From at least 2011 to January 2014, Ms. Neal served as global head of markets electronic trading, futures and prime services for Nomura International and Chief Operating Officer of Global Execution Services for Nomura Global Markets
and Instinet. |
PART IV |
(a) | The financial statements, schedules and exhibits required for this Form 10-K are incorporated by reference as indicated in the following index. Page numbers refer to pages of the Annual Report for Items (1) and (2) Financial Statements and Schedules. |
(1)(2) | Financial
Statements and Schedules | Page No. |
Consolidated Income Statement | 142-143 | |
Consolidated Comprehensive Income Statement | 144 | |
Consolidated Balance Sheet | 145 | |
Consolidated
Statement of Cash Flows | 146 | |
Consolidated Statement of Changes in Equity | 147-149 | |
Notes to Consolidated Financial Statements | 150-225 | |
Report of Independent Registered Public Accounting Firm | 225 | |
Selected
Quarterly Data (unaudited) | 132 | |
(3) | Exhibits | |
See (b) below. |
(b) | The
exhibits listed on the Index to Exhibits on pages 15 through 24 hereof are incorporated by reference or filed or furnished herewith in response to this Item. |
(c) | Other Financial Data |
The Bank of New York Mellon Corporation | ||
By: | ||
Chairman and Chief Executive Officer | ||
DATED:
February 26, 2016 |
Signature | Capacities | |||
By: | Director and Principal Executive Officer | |||
Chairman and Chief Executive Officer | ||||
By: | Principal Financial Officer | |||
Chief Financial Officer | ||||
By: | Principal Accounting Officer | |||
Corporate Controller | ||||
Nicholas
M. Donofrio; Joseph J. Echevarria; Edward P. Garden; Jeffrey A. Goldstein; John M. Hinshaw; Edmund F. Kelly; Richard J. Kogan; John A. Luke, Jr.; Mark A. Nordenberg; Catherine A. Rein; William C. Richardson; Samuel C. Scott III; and Wesley W. von Schack | Directors | |||
By: | /s/
Craig T. Beazer | DATED: February 26, 2016 | ||
Attorney-in-fact |
Exhibit | Description | Method
of Filing | |||
2.1 | Amended and Restated Agreement and Plan of Merger, dated as of Dec. 3, 2006, as amended and restated as of Feb. 23, 2007, and as further amended and restated as of March 30, 2007,
between The Bank of New York Company, Inc., Mellon Financial Corporation and The Bank of New York Mellon Corporation (the “Company”). | Previously filed as Exhibit 2.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on July 2, 2007, and incorporated herein by reference. | |||
3.1 | Restated
Certificate of Incorporation of The Bank of New York Mellon Corporation. | Previously filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on July 2, 2007, and incorporated herein by reference. | |||
3.2 | Certificate
of Designations of The Bank of New York Mellon Corporation with respect to Series A Noncumulative Preferred Stock, dated June 15, 2007. | Previously filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on July 5, 2007, and incorporated herein by reference. | |||
3.3 | Certificate
of Designations of The Bank of New York Mellon Corporation with respect to Series C Noncumulative Perpetual Preferred Stock, dated Sept. 13, 2012. | Previously filed as Exhibit 3.2 to the Company’s Registration Statement on Form 8-A12B (File No. 001-35651) as filed with the Commission on Sept. 14, 2012, and incorporated herein by reference. | |||
3.4 | Certificate
of Designations of The Bank of New York Mellon Corporation with respect to Series D Noncumulative Perpetual Preferred Stock, dated May 16, 2013. | Previously filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K (File No. 001-35651) as filed with the Commission on May 16, 2013, and incorporated herein by reference. | |||
3.5 | Certificate
of Designations of The Bank of New York Mellon Corporation with respect to Series E Noncumulative Perpetual Preferred Stock, dated April 27, 2015. | Previously filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K (File No. 001-35651) as filed with the Commission on April 28, 2015, and incorporated herein by reference. | |||
3.6 | Amended
and Restated By-Laws of The Bank of New York Mellon Corporation, as amended and restated on July 10, 2007 and subsequently amended on April 14, 2009, Aug. 11, 2009, Feb. 9, 2010, July 2, 2010, Oct. 12, 2010, Oct. 8, 2013 and October 13, 2015. | Previously filed as Exhibit 3.1 to the
Company’s Current Report on Form 8-K (File No. 001-35651) as filed with the Commission on Oct. 19, 2015, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | ||
4.1 | None of the instruments defining the rights of holders of long-term debt of the Parent or any of its subsidiaries represented long-term debt in excess of 10% of the total assets of the Company as of Dec.
31, 2015. The Company hereby agrees to furnish to the Commission, upon request, a copy of any such instrument. | N/A | ||
10.1 | * | The Bank of New York Company, Inc. Excess Contribution Plan as amended through July 10, 1990. | Previously filed as Exhibit 10(b) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec.
31, 1990, and incorporated herein by reference. | |
10.2 | * | Amendments dated Feb. 23, 1994 and Nov. 9, 1993 to The Bank of New York Company, Inc. Excess Contribution Plan. | Previously filed as Exhibit 10(c) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1993,
and incorporated herein by reference. | |
10.3 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution Plan dated as of Nov. 1, 1995. | Previously filed as Exhibit 10(e) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1995, and incorporated herein
by reference. | |
10.4 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution Plan dated as of Nov. 12, 2002. | Previously filed as Exhibit 10(v) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2003, and incorporated herein by reference. | |
10.5 | * | Amendment
to The Bank of New York Company, Inc. Excess Contribution Plan dated as of Oct. 9, 2006. | Previously filed as Exhibit 10(y) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2006, and incorporated herein by reference. | |
10.6 | * | The Bank of New York Company, Inc. Excess Benefit Plan as amended through
Dec. 8, 1992. | Previously filed as Exhibit 10(d) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1992, and incorporated herein by reference. | |
10.7 | * | Amendment dated as of Aug. 11, 1994 to The Bank of New York Company, Inc. Excess Benefit Plan. | Previously
filed as Exhibit 10(g) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1994, and incorporated herein by reference. | |
10.8 | * | Amendment dated as of Nov. 1, 1995 to The Bank of New York Company, Inc. Excess Benefit Plan. | Previously filed as Exhibit 10(i) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152)
for the year ended Dec. 31, 1995, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | ||
10.9 | * | Amendment dated as of July 1, 1996 to The Bank of New York Company, Inc. Excess Benefit Plan. | Previously filed as Exhibit 10(kk) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152)
for the year ended Dec. 31, 1999, and incorporated herein by reference. | |
10.10 | * | The Bank of New York Company, Inc. 2003 Long-Term Incentive Plan. | Previously filed as Exhibit B to The Bank of New York Company, Inc.’s Definitive Proxy Statement (File No. 001-06152) dated March 31, 2003, and incorporated herein by reference. | |
10.11 | * | Amendment
dated as of Dec. 28, 2005 to the 2003 Long-Term Incentive Plan of The Bank of New York Company, Inc. | Previously filed as Exhibit 10(ee) to The Bank of New York Company, Inc.’s Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2005, and incorporated herein by reference. | |
10.12 | * | Amendment dated as of Oct. 9, 2006 to the 2003 Long-Term Incentive Plan of
The Bank of New York Company, Inc. | Previously filed as Exhibit 10(gg) to The Bank of New York Company, Inc.’s Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2006, and incorporated herein by reference. | |
10.13 | * | Amendment dated as of Feb. 21, 2008 to the 2003 Long-Term Incentive Plan of The Bank of New York Company, Inc. | Previously
filed as Exhibit 99.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on Feb. 27, 2008, and incorporated herein by reference. | |
10.14 | * | The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(n) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152)
for the year ended Dec. 31, 1992, and incorporated herein by reference. | |
10.15 | * | Amendment dated as of March 9, 1993 to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(k) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1993, and incorporated
herein by reference. | |
10.16 | * | Amendment dated as of Oct. 11, 1994 to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(o) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1994, and incorporated herein by reference. | |
10.17 | * | Amendment
dated as of July 1, 1996 to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(a) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1996, and incorporated herein by reference. | |
10.18 | * | Amendment dated as of Nov. 12, 1996 to The Bank of New
York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(b) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1996, and incorporated herein by reference. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | ||
10.19 | * | Amendment
dated as of July 11, 2000 to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(e) to The Bank of New York Company, Inc.’s Quarterly Report on Form 10-Q (File No. 001-06152) for the quarter ended Sept. 30, 2000, and incorporated herein by reference. | |
10.20 | * | Amendment dated as of Feb. 13, 2001 to The Bank
of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously filed as Exhibit 10(ggg) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2000, and incorporated herein by reference. | |
10.21 | * | Amendment dated as of Jan. 1, 2006 to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan. | Previously
filed as Exhibit 10(yy) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2005, and incorporated herein by reference. | |
10.22 | * | Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc. | Previously filed as Exhibit 10(s) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152)
for the year ended Dec. 31, 1993, and incorporated herein by reference. | |
10.23 | * | Amendment dated as of Nov. 8, 1994 to Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc. | Previously filed as Exhibit 10(z) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1994,
and incorporated herein by reference. | |
10.24 | * | Amendment dated Feb. 11, 1997 to Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc. | Previously filed as Exhibit 10(j) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 1996, and incorporated herein by reference. | |
10.25 | * | Amendment
to Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc. dated as of July 11, 2000. | Previously filed as Exhibit 10(d) to The Bank of New York Company, Inc.’s Quarterly Report on Form 10-Q (File No. 001-06152) for the quarter ended Sept. 30, 2000, and incorporated herein by reference. | |
10.26 | * | Amendment dated as of Nov. 12, 2002
to Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc. | Previously filed as Exhibit 10(yy) to The Bank of New York Company, Inc.’s Annual Report on Form 10-K (File No. 001-06152) for the year ended Dec. 31, 2003, and incorporated herein by reference. | |
10.27 | * | Form of Stock Option Agreement under The Bank of New York Company, Inc.’s 2003 Long-Term Incentive Plan. | Previously
filed as Exhibit 10.3 to The Bank of New York Company, Inc.’s Quarterly Report on Form 10-Q (File No. 001-06152) for the quarter ended June 30, 2006, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | ||
10.28 | * | Form of Stock Option Agreement under The Bank of New York Company, Inc.’s 2003 Long-Term Incentive Plan. | Previously filed as Exhibit 10.9 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710)
for the quarter ended June 30, 2007, and incorporated herein by reference. | |
10.29 | * | Mellon Financial Corporation Long-Term Profit Incentive Plan (2004), as amended effective April 17, 2007. | Previously filed as Exhibit 10.2 to Mellon Financial Corporation’s Quarterly Report on Form 10-Q (File No. 001-07410) for the quarter ended March 31, 2007, and incorporated
herein by reference. | |
10.30 | * | Mellon Financial Corporation Stock Option Plan for Outside Directors (2001), effective Feb. 20, 2001. | Previously filed as Exhibit 10.1 to Mellon Financial Corporation’s Quarterly Report on Form 10-Q (File No. 001-07410) for the quarter ended June 30, 2001, and incorporated herein by reference. | |
10.31 | * | Mellon
Financial Corporation Director Equity Plan (2006). | Previously filed as Exhibit A to Mellon Financial Corporation’s Proxy Statement (File No. 001-07410) dated March 15, 2006, and incorporated herein by reference. | |
10.32 | * | Mellon Financial Corporation 1990 Elective Deferred Compensation Plan for Directors and Members of the Advisory Board, as amended, effective Jan. 1, 2002. | Previously
filed as Exhibit 10.9 to Mellon Financial Corporation’s Annual Report on Form 10-K (File No. 001-07410) for the year ended Dec. 31, 2001, and incorporated herein by reference. | |
10.33 | * | Form of Mellon Financial Corporation Elective Deferred Compensation Plan for Directors (Post Dec. 31, 2004). | Previously filed as Exhibit 99.3 to Mellon Financial Corporation’s Current Report on Form 8-K (File No. 001-07410)
as filed with the Commission on Oct. 20, 2006, and incorporated herein by reference. | |
10.34 | * | The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors, effective Jan. 1, 2008. | Previously filed as Exhibit 10.71 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended Dec.
31, 2007, and incorporated herein by reference. | |
10.35 | * | Form of Option Agreement for Directors of Mellon Financial Corporation. | Previously filed as Exhibit 10.35 to Mellon Financial Corporation’s Annual Report on Form 10-K (File No. 001-07410) for the year ended Dec. 31, 2004, and incorporated herein by reference. | |
10.36 | * | Description
regarding team equity incentive awards, replacement equity awards and special stock option award to executives named therein. | Previously filed as Item 5.02 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on July 13, 2007, and incorporated herein by reference. | |
10.37 | Lease
dated as of Dec. 29, 2004, between 500 Grant Street Associates Limited Partnership and The Bank of New York Mellon with respect to BNY Mellon Center. | Previously filed as Exhibit 99.1 to Mellon Financial Corporation’s Annual Report on Form 10-K (File No. 001-07410) for the year ended Dec. 31, 2004, and incorporated herein by reference. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | ||
10.38 | * | The
Bank of New York Mellon Corporation Deferred Compensation Plan for Employees. | Previously filed as Exhibit 4.4 to the Company’s Form S-8 (File No. 333-149473) filed on Feb. 29, 2008, and incorporated herein by reference. | |
10.39 | * | Form of 2008 Stock Option Agreement between The Bank of New York Mellon Corporation and Gerald
L. Hassell. | Previously filed as Exhibit 10.11 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710) for the quarter ended March 31, 2008, and incorporated herein by reference. | |
10.40 | * | Form of Long Term Incentive Plan Deferred Stock Unit Agreement for Directors of
The Bank of New York Corporation. | Previously filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710) for the quarter ended June 30, 2008, and incorporated herein by reference. | |
10.41 | * | Amendment to The Bank of New York Company, Inc. Supplemental Executive
Retirement Plan, dated as of Jan. 1, 2009. | Previously filed as Exhibit 10.156 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended Dec. 31, 2008, and incorporated herein by reference. | |
10.42 | * | Amendment to The Bank of New York Company, Inc. Amended and Restated 2003 Long-Term Incentive Plan, dated
as of Jan. 1, 2009. | Previously filed as Exhibit 10.157 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended Dec. 31, 2008, and incorporated herein by reference. | |
10.43 | * | Amendment to The Bank of New York Company, Inc. Excess Benefit Plan, dated as of Jan.
1, 2009. | Previously filed as Exhibit 10.158 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended Dec. 31, 2008, and incorporated herein by reference. | |
10.44 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution Plan, dated as of Jan. 1, 2009. | Previously
filed as Exhibit 10.159 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended Dec. 31, 2008, and incorporated herein by reference. | |
10.45 | * | Form of Amended and Restated Indemnification Agreement with Directors of The Bank of New York Mellon Corporation. | Previously filed as Exhibit 10.1 to the
Company’s Quarterly Report on Form 10-Q (File No. 000-52710) for the quarter ended Sept. 30, 2009, and incorporated herein by reference. | |
10.46 | * | Form of Amended and Restated Indemnification Agreement with Executive Officers of The Bank of New York Mellon Corporation. | Previously filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710)
for the quarter ended Sept. 30, 2009, and incorporated herein by reference. | |
10.47 | * | The Bank of New York Mellon Corporation Executive Severance Plan, effective July 13, 2010. | Previously filed as Exhibit 99.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as
filed with the Commission on July 16, 2010, and incorporated herein by reference. | |
10.48 | * | The Bank of New York Mellon Corporation Policy Regarding Shareholder Approval of Future Senior Officers Severance Arrangements, adopted July 12, 2010. | Previously filed as Exhibit 99.3 to the Company’s Current Report on Form 8-K (File
No. 000-52710) as filed with the Commission on July 16, 2010, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | ||
10.49 | * | Form of Executive Stock Option Agreement. | Previously filed as Exhibit 10.135 to the Company’s Annual Report on Form 10-K (File No. 000-52710)
for the year ended Dec. 31, 2010, and incorporated herein by reference. | |
10.50 | * | Amendment to The Bank of New York Mellon Corporation Executive Severance Plan, effective as of Aug. 11, 2014. | Previously filed as Exhibit 10.1 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended Sept. 30, 2014, and incorporated
herein by reference. | |
10.51 | * | 2011 Form of Executive Stock Option Agreement. | Previously filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710) for the quarter ended March 31, 2011, and incorporated herein by reference. | |
10.52 | * | Terms
of Employment agreed to by The Bank of New York Mellon Corporation and Curtis Y. Arledge, dated July 26, 2010, and accepted July 29, 2010. | Previously filed as Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q (File No. 000-52710) for the quarter ended March 31, 2011, and incorporated herein by reference. | |
10.53 | * | The
Bank of New York Mellon Corporation Long-Term Incentive Plan. | Previously filed as Appendix A to the Company’s definitive proxy statement on Schedule 14A (File No. 000-52710) filed on March 11, 2011, and incorporated herein by reference. | |
10.54 | * | Amended and Restated Long-Term Incentive Plan of The Bank of New York Mellon Corporation. | Previously
filed as Exhibit A to BNY Mellon’s definitive proxy statement on Schedule 14A (File No. 001-35651), filed on March 7, 2014, and incorporated herein by reference. | |
10.55 | * | Form of Restricted Stock Unit Agreement under the Amended and Restated Long-Term Incentive Plan of The Bank of New York Mellon Corporation. | Previously filed as Exhibit 10.3 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651)
for the quarter ended June 30, 2014, and incorporated herein by reference. | |
10.56 | * | Form of Performance Share Unit Agreement under the Amended and Restated Long-Term Incentive Plan of The Bank of New York Mellon Corporation. | Previously filed as Exhibit 10.4 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended June 30, 2014, and incorporated
herein by reference. | |
10.57 | * | The Bank of New York Mellon Corporation Executive Incentive Compensation Plan. | Previously filed as Appendix B to the Company’s definitive proxy statement on Schedule 14A (File No. 000-52710) filed on March 11, 2011, and incorporated herein by reference. | |
10.58 | * | 2012
Form of Nonstatutory Stock Option Agreement. | Previously filed as Exhibit 10.82 to the Company’s Annual Report on Form 10-K (File No. 001-35651) for the year ended Dec. 31, 2012, and incorporated herein by reference. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | ||
10.59 | * | 2012
Form of Restricted Stock Unit Agreement. | Previously filed as Exhibit 10.83 to the Company’s Annual Report on Form 10-K (File No. 001-35651) for the year ended Dec. 31, 2012, and incorporated herein by reference. | |
10.60 | * | The Bank of New York Mellon Corporation Defined Contribution IRC 401(a)(17) Plan. | Previously
filed as Exhibit 10.84 to the Company’s Annual Report on Form 10-K (File No. 001-35651) for the year ended Dec. 31, 2012, and incorporated herein by reference. | |
10.61 | * | 2013 Form of Performance Share Unit Agreement. | Previously filed as Exhibit 10.1 to the Company’s Quarterly Report on
Form 10-Q (File No. 001-35651) for the quarter ended June 30, 2013, and incorporated herein by reference. | |
10.62 | * | 2013 Form of Restricted Stock Unit Agreement. | Previously filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended June
30, 2013, and incorporated herein by reference. | |
10.63 | Purchase and Sale Agreement by and between The Bank of New York Mellon and MIP One Wall Street Acquisition LLC, dated May 20, 2014. | Previously filed as Exhibit 10.1 to BNY Mellon’s Current Report on Form 8-K (File No. 001-35651) as filed with the Commission on May 27, 2014, and incorporated herein by reference. | ||
10.64 | First
Amendment to Purchase and Sale Agreement between The Bank of New York Mellon and MIP One Wall Street Acquisition LLC, dated Sept. 26, 2014. | Previously filed as Exhibit 10.2 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended September 30, 2014, and incorporated herein by reference. | ||
10.65 | Lease agreement by and between The Bank of New York Mellon and WFP Tower Co. L.P., dated
June 25, 2014. | Previously filed as Exhibit 10.2 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended June 30, 2014, and incorporated herein by reference. | ||
10.66 | * | Amendment to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan, dated as of Dec. 31, 2014. | Previously
filed as Exhibit 10.76 to BNY Mellon’s Annual Report on Form 10-K (File No. 001-35651) for the year ended December 31, 2014, and incorporated herein by reference. | |
10.67 | * | 2015 Form of Performance Share Unit Agreement. | Previously filed as Exhibit 10.1 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended September
30, 2015, and incorporated herein by reference. | |
10.68 | * | 2015 Form of Restricted Share Unit Agreement. | Previously filed as Exhibit 10.2 to BNY Mellon’s Quarterly Report on Form 10-Q (File No. 001-35651) for the quarter ended September 30, 2015, and incorporated herein by reference. | |
10.69 | * | The
Bank of New York Mellon Corporation Defined Contribution IRC 401(a)(17) Plan (as amended and restated). | ||
10.70 | * | Amendment dated as of December 14, 2015 to The Bank of New York Company, Inc. Excess Benefit Plan. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | ||
12.1 | Computation
of Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends. | |||
13.1 | All portions of The Bank of New York Mellon Corporation 2015 Annual Report to Shareholders that are incorporated herein by reference. The remaining portions are furnished for the information of the SEC and are not “filed” as part of this filing. | Filed
and furnished herewith. | ||
21.1 | Primary subsidiaries of the Company. | |||
23.1 | Consent of KPMG LLP. | |||
24.1 | ||||
31.1 | Certification of the Chief Executive Officer pursuant to Rule 13a-14(a), as adopted pursuant
to Section 302 of the Sarbanes-Oxley Act of 2002. | |||
31.2 | Certification of the Chief Financial Officer pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |||
32.1 | Certification
of the Chief Executive Officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | Furnished herewith. | ||
32.2 | Certification of the Chief Financial Officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | Furnished herewith. | ||
99.1 | Mellon
Capital III Amended and Restated Replacement Capital Covenant, dated Sept. 11, 2012. | Previously filed as Exhibit 99.1 to the Company’s Annual Report on Form 10-K (File No. 001-35651) for the year ended Dec. 31, 2012, and incorporated herein by reference. | ||
99.2 | Mellon
Capital IV Amended and Restated Replacement Capital Covenant, dated Sept. 11, 2012. | Previously filed as Exhibit 99.2 to the Company’s Annual Report on Form 10-K (File No. 001-35651) for the year ended Dec. 31, 2012, and incorporated herein by reference. | ||
101.INS | XBRL Instance Document. | |||
101.SCH | XBRL Taxonomy Extension Schema Document. | |||
101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | ||
101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | |||
101.LAB | XBRL
Taxonomy Extension Label Linkbase Document. | |||
101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | |||
* Management contract or compensatory plan arrangement. |
This ‘10-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
11/15/18 | ||||
Filed on: | 2/26/16 | 8-K | ||
1/31/16 | ||||
For Period end: | 12/31/15 | 11-K, 13F-HR, 5, 8-K | ||
12/14/15 | ||||
10/19/15 | 8-K | |||
10/13/15 | 8-K, SC 13G | |||
9/30/15 | 10-Q, 13F-HR, 13F-HR/A, 8-K | |||
6/30/15 | 10-Q, 13F-HR, 13F-HR/A, 8-K | |||
4/28/15 | 4, 8-K | |||
4/27/15 | 3/A, 4 | |||
12/31/14 | 10-K, 11-K, 13F-HR, 13F-HR/A, 5, 8-K, ARS | |||
9/30/14 | 10-Q, 13F-HR, 13F-HR/A, 8-K | |||
9/26/14 | ||||
8/11/14 | 10-Q, SC 13G | |||
6/30/14 | 10-Q, 13F-HR, 13F-HR/A | |||
6/25/14 | 8-K | |||
5/27/14 | 8-K | |||
5/20/14 | 8-K | |||
3/7/14 | DEF 14A, DEFA14A, SC 13G/A | |||
10/8/13 | 8-K | |||
6/30/13 | 10-Q, 13F-HR, 13F-HR/A | |||
5/16/13 | 8-K | |||
12/31/12 | 10-K, 10-K/A, 11-K, 13F-HR, 13F-HR/A | |||
9/14/12 | 4, 424B3, 8-A12B | |||
9/13/12 | FWP | |||
9/11/12 | ||||
3/31/11 | 10-Q, 13F-HR, 13F-HR/A | |||
3/11/11 | DEF 14A, DEFA14A, SC 13G/A | |||
12/31/10 | 10-K, 11-K, 13F-HR, 13F-HR/A | |||
10/12/10 | 3, 8-K | |||
7/29/10 | ||||
7/26/10 | 8-K, UPLOAD | |||
7/16/10 | 8-K | |||
7/13/10 | 8-K | |||
7/12/10 | ||||
7/2/10 | ||||
2/9/10 | 4, 8-K, SC 13G/A | |||
9/30/09 | 10-Q, 13F-HR | |||
8/11/09 | 4, 8-K | |||
4/14/09 | 8-K, DEF 14A, PRE 14A | |||
1/1/09 | ||||
12/31/08 | 10-K, 11-K, 13F-HR, 13F-HR/A, 4, 5 | |||
6/30/08 | 10-Q, 11-K, 13F-HR, 424B2 | |||
3/31/08 | 10-Q, 13F-HR, 4, 424B2 | |||
2/29/08 | S-8 | |||
2/27/08 | 8-K | |||
2/21/08 | 4, 8-K | |||
1/1/08 | ||||
12/31/07 | 10-K, 11-K, 13F-HR, 4, 5, ARS | |||
7/13/07 | 8-K | |||
7/10/07 | 424B2 | |||
7/5/07 | 4, 8-K | |||
7/2/07 | 4, 424B2, 424B3, 8-K, 8-K12G3, S-3ASR | |||
6/30/07 | 10-Q | |||
6/15/07 | ||||
4/17/07 | EFFECT, S-4/A | |||
3/31/07 | ||||
3/30/07 | ||||
2/23/07 | S-4 | |||
12/31/06 | ||||
12/3/06 | ||||
10/20/06 | ||||
10/9/06 | ||||
6/30/06 | ||||
3/15/06 | ||||
1/1/06 | ||||
12/31/05 | ||||
12/28/05 | ||||
12/31/04 | ||||
12/29/04 | ||||
12/31/03 | ||||
3/31/03 | ||||
11/12/02 | ||||
1/1/02 | ||||
12/31/01 | ||||
6/30/01 | ||||
2/20/01 | ||||
2/13/01 | ||||
12/31/00 | ||||
9/30/00 | ||||
7/11/00 | ||||
12/31/99 | ||||
2/11/97 | ||||
12/31/96 | ||||
11/12/96 | ||||
7/1/96 | ||||
12/31/95 | ||||
11/1/95 | ||||
12/31/94 | ||||
11/8/94 | ||||
10/11/94 | ||||
8/11/94 | ||||
2/23/94 | ||||
12/31/93 | ||||
11/9/93 | ||||
3/9/93 | ||||
12/31/92 | ||||
12/8/92 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/24 Bank of New York Mellon Corp. 10-K 12/31/23 186:40M 2/27/23 Bank of New York Mellon Corp. 10-K 12/31/22 180:45M 2/25/22 Bank of New York Mellon Corp. 10-K 12/31/21 183:46M 2/25/21 Bank of New York Mellon Corp. 10-K 12/31/20 185:44M 8/30/16 SEC UPLOAD¶ 10/14/17 1:36K Bank of New York Mellon Corp. 7/22/16 SEC UPLOAD¶ 10/14/17 1:157K Bank of New York Mellon Corp. 5/06/16 SEC UPLOAD¶ 10/14/17 1:162K Bank of New York Mellon Corp. |