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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/14 Bank of New York Mellon Corp 10-K 12/31/13 199:63M Workiva Inc |
Document/Exhibit Description Pages Size 1: 10-K Annual Report HTML 326K 3: EX-13.1 All Portions of 2013 Annual Report to Shareholders HTML 3.94M 4: EX-21.1 Primary Subsidiaries of the Company HTML 72K 5: EX-23.1 Consent of Kpmg LLP HTML 63K 6: EX-24.1 Power of Attorney HTML 64K 2: EX-12.1 Computation of Ratio of Earnings to Combined Fixed HTML 86K Charges and Preferred Stock D 7: EX-31.1 Section 302 CEO Certification HTML 64K 8: EX-31.2 Section 302 CFO Certification HTML 64K 9: EX-32.1 Section 906 CEO Certification HTML 59K 10: EX-32.2 Section 906 CFO Certification HTML 59K 134: R1 Document and Entity Information HTML 88K 98: R2 Consolidated Income Statement HTML 219K 124: R3 Consolidated Income Statement (Parenthetical) HTML 59K 141: R4 Consolidated Comprehensive Income Statement HTML 112K 180: R5 Consolidated Comprehensive Income Statement HTML 60K (Parenthetical) 103: R6 Consolidated Balance Sheet HTML 216K 123: R7 Consolidated Balance Sheet (Parenthetical) HTML 85K 89: R8 Consolidated Statement of Cash Flows HTML 211K 73: R9 Consolidated Statement of Changes in Equity HTML 125K 182: R10 Consolidated Statement of Changes in Equity HTML 60K (Parenthetical) 143: R11 Accounting Changes and New Accounting Guidance HTML 65K 142: R12 Summary of significant accounting and reporting HTML 156K policies Summary of significant accounting and reporting policies (Notes) 153: R13 Acquisitions and dispositions HTML 70K 154: R14 Securities HTML 606K 148: R15 Loans and Asset Quality HTML 609K 157: R16 Goodwill and Intangible Assets HTML 186K 125: R17 Other Assets HTML 101K 136: R18 Deposits HTML 63K 146: R19 Net Interest Revenue (Note) HTML 97K 198: R20 Noninterest Expense HTML 90K 171: R21 Restructuring Charges HTML 95K 114: R22 Income Taxes HTML 149K 145: R23 Long-Term Debt HTML 116K 119: R24 Securitizations and Variable Interest Entities HTML 113K 54: R25 Shareholders' Equity HTML 176K 173: R26 Other Comprehensive Income (Loss) HTML 183K 189: R27 Stock-Based Compensation HTML 151K 83: R28 Employee Benefit Plans HTML 671K 82: R29 Company Financial Information HTML 189K 87: R30 Fair Value Measurement HTML 1.06M 88: R31 Fair Value Option HTML 84K 91: R32 Commitments and Contingent Liabilities HTML 160K 34: R33 Derivative Instruments HTML 343K 167: R34 Lines of Businesses HTML 183K 110: R35 International Operations HTML 131K 115: R36 Supplemental information to the Consolidated HTML 71K Statement of Cash Flows 64: R37 Summary of significant accounting and reporting HTML 293K policies (Policies) 197: R38 Summary of significant accounting and reporting HTML 70K policies (Tables) 17: R39 Securities (Tables) HTML 610K 95: R40 Loans and Asset Quality (Tables) HTML 598K 178: R41 Goodwill and Intangible Assets (Tables) HTML 184K 60: R42 Other Assets (Tables) HTML 102K 81: R43 Net Interest Revenue (Tables) HTML 96K 86: R44 Noninterest Expense (Tables) HTML 90K 99: R45 Restructuring Charges (Tables) HTML 95K 33: R46 Income Taxes (Tables) HTML 150K 71: R47 Long-Term Debt (Tables) HTML 116K 22: R48 Securitizations and Variable Interest Entities HTML 117K (Tables) 176: R49 Shareholders' Equity (Tables) HTML 164K 58: R50 Other Comprehensive Income (Loss) (Tables) HTML 182K 170: R51 Stock-Based Compensation (Tables) HTML 146K 65: R52 Employee Benefit Plans (Tables) HTML 667K 96: R53 Company Financial Information (Tables) HTML 178K 20: R54 Fair Value Measurement (Tables) HTML 1.03M 28: R55 Fair Value Option (Tables) HTML 86K 85: R56 Commitments and Contingent Liabilities (Tables) HTML 110K 42: R57 Derivative Instruments (Tables) HTML 324K 185: R58 Lines of Businesses (Tables) HTML 160K 108: R59 International Operations (Tables) HTML 130K 150: R60 Supplemental information to the Consolidated HTML 69K Statement of Cash Flows (Tables) 70: R61 Summary of significant accounting and reporting HTML 66K policies - Significant Equity Method Investments (Detail) 76: R62 Summary of significant accounting and reporting HTML 89K policies - Additional Information (Detail) 163: R63 Acquisitions and dispositions- Additional HTML 98K Information (Detail) 158: R64 Securities-Amortized Cost, Gross Unrealized Gains HTML 146K and Losses and Fair Value of Securities (Detail) 113: R65 Securities-Amortized Cost, Gross Unrealized Gains HTML 62K and Losses and Fair Value of Securities (Parenthetical) (Detail) 161: R66 Securities-Net Securities Gains (Losses) (Detail) HTML 65K 66: R67 Securities-Aggregate Fair Value of Investments HTML 163K with Continuous Unrealized Loss Position (Detail) 120: R68 Securities-Maturity Distribution by Carrying HTML 170K Amount and Yield (on Tax Equivalent Basis) of Investment Securities Portfolio (Detail) 188: R69 Securities-Projected Weighted-Average Default HTML 64K Rates and Loss Severities (Detail) 26: R70 Securities-Pre-Tax Net Securities Gains (Losses) HTML 69K by Type (Detail) 53: R71 Securities-Debt Securities Credit Losses Roll HTML 68K Forward Recorded in Earnings (Detail) 97: R72 Securities - Additional Information (Detail) HTML 85K 40: R73 Loans and asset quality- Details of Loan HTML 92K Distribution and Industry Concentrations of Credit Risk (Detail) 195: R74 Loans and asset quality- Details of Loan HTML 60K Distribution and Industry Concentrations of Credit Risk (Parenthetical) (Detail) 62: R75 Loans and asset quality- Allowance for Credit HTML 162K Losses Activity (Detail) 45: R76 Loans and asset quality- Allowance for Credit HTML 66K Losses Activity (Parenthetical) (Detail) 52: R77 Loans and asset quality- Nonperforming Assets HTML 72K (Detail) 30: R78 Loans and asset quality- Nonperforming Assets HTML 59K (Parenthetical) (Detail) 36: R79 Loans and asset quality- Lost Interest (Detail) HTML 64K 138: R80 Loans and asset quality- Information about HTML 121K Impaired Loans (Detail) 50: R81 Loans and asset quality- Information about HTML 74K Impaired Loans (Parenthetical) (Detail) 186: R82 Loans and asset quality- Information about Past HTML 80K Due Loans (Detail) 93: R83 Loans and asset quality- Troubled Debt HTML 73K Restructurings (Detail) 147: R84 Loans and asset quality- Credit Quality Indicators HTML 78K - 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Consolidated and Largest HTML 69K Bank Subsidiary Capital Ratios (Detail) 172: R115 Shareholders' Equity - Consolidated and Largest HTML 74K Bank Subsidiary Capital Ratios (Parenthetical) (Detail) 75: R116 Shareholders' Equity-Capital Above Guidelines HTML 63K (Details) 191: R117 Shareholders' Equity - Components of Tier 1 and HTML 81K Total Risk-Based Capital (Detail) 37: R118 Shareholders' Equity - Components of Tier 1 and HTML 64K Total Risk-Based Capital (Parenthetical) (Detail) 133: R119 Other Comprehensive Income (Loss) - Components of HTML 212K Other Comprehensive Income (Detail) 159: R120 Other Comprehensive Income (Loss) - Accumulated HTML 81K Other Comprehensive Income (Loss) (Detail) 24: R121 Stock-Based Compensation - Additional Information HTML 114K (Detail) 129: R122 Stock-Based Compensation - Weighted Average HTML 68K Assumptions In Lattice-Based Binomial Method (Detail) 117: R123 Stock-Based Compensation - Summary of Stock Option HTML 100K Activity (Detail) 27: R124 Stock-Based Compensation - Stock Options HTML 91K Outstanding (Detail) 135: R125 Stock-Based Compensation - Stock Options HTML 63K Outstanding (Parenthetical) (Detail) 194: R126 Stock-Based Compensation - Aggregate Intrinsic HTML 62K Value of Options (Detail) 38: R127 Stock-Based Compensation - Nonvested Restricted HTML 85K Stock and Restricted Stock Units Activity (Detail) 77: R128 Stock-Based Compensation - Nonvested Restricted HTML 63K Stock and Restricted Stock Units Activity (Parenthetical) (Detail) 166: R129 Employee Benefit Plans - Combined Data for HTML 159K Domestic and Foreign Defined Benefit Pension and Post Retirement Healthcare Plans (Detail) 193: R130 Employee Benefit Plans - Net Periodic Benefit Cost HTML 117K (Credit) (Detail) 112: R131 Employee Benefit Plans - Changes in Other HTML 89K Comprehensive Income Loss (Detail) 130: R132 Employee Benefit Plans - Amounts Expected to be HTML 65K Recognized in Net Periodic Benefit Cost Income (Detail) 39: R133 Employee Benefit Plans - Defined Benefit Plan HTML 68K Funded Status of Plan (Detail) 44: R134 Employee Benefit Plans - Plans with Obligations in HTML 68K Excess of Plan Assets (Detail) 101: R135 Employee Benefit Plans - Benefit Payments for BNY HTML 80K Mellons Pension and Healthcare Plans Expected to be Paid (Detail) 80: R136 Employee Benefit Plans - Pension Investment Asset HTML 92K Allocation (Detail) 155: R137 Employee Benefit Plans - Pension Investment Asset HTML 61K Allocation (Parenthetical) (Detail) 106: R138 Employee Benefit Plans - Pension Plan Investment HTML 137K Assets Measured at Fair Value on Recurring Basis (Detail) 74: R139 Employee Benefit Plans - Rollforward of Plan HTML 89K Investment Assets Including Change in Fair Value Classified in Level 3 of Valuation Hierarchy (Detail) 107: R140 Employee Benefit Plans - Pension Plan Assets HTML 74K Valued Using Net Asset Value (Detail) 56: R141 Employee benefit plans - Additional Information HTML 125K (Detail) 18: R142 Company financial information - Additional HTML 79K Information (Detail) 168: R143 Company Financial Information - Condensed Income HTML 100K Statement Parent Corporation (Detail) 144: R144 Company Financial Information - 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BK 2013 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 [ ] |
• | BNY Mellon’s Code of Conduct, which is applicable to all employees,
including BNY Mellon’s senior financial officers; |
• | BNY Mellon’s Directors’ Code of Conduct, which is applicable to our directors; |
• | BNY Mellon’s Corporate Governance Guidelines; and |
• | the
Charters of the Audit, Corporate Governance and Nominating, Corporate Social Responsibility, Human Resources and Compensation, Risk and |
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. |
• | BNY
Mellon, National Association (“BNY Mellon, N.A.”), a nationally-chartered bank, which houses our Wealth Management business. |
I. | Distribution of
Assets, Liabilities and Stockholders' Equity; Interest Rates and Interest Differential |
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 |
D. | Other Interest-bearing Assets |
• | BNY Mellon will not repay, redeem or repurchase, and will cause the 2006 Trust not to repay, redeem or repurchase, any of the 2006 Securities, with limited exceptions,
unless: |
◦ | BNY Mellon has obtained the prior approval of the Federal Reserve to do so if such approval is then required under the Federal Reserve’s capital rules; and |
◦ | the principal amount repaid or the applicable redemption or repurchase amount does not exceed specified percentages of the aggregate amount of net cash proceeds that BNY Mellon and its subsidiaries have received
since Sept. 11, 2012 from the issuance of certain securities specified in the 2006 RCC that, generally described, based on the standards in effect at the time the 2006 RCC was originally adopted would have been expected to receive equity credit at the time of sale or issuance equal to or greater than the equity credit attributed to the 2006 Securities based on such standards at the time of such repayment, redemption or repurchase; and |
• | BNY Mellon will not pay any interest that has been deferred on the 2006 Securities other than out of the net proceeds of common stock or certain non-cumulative perpetual preferred stock that is subject to a replacement capital covenant similar
to the 2006 RCC, subject to certain limitations, and BNY Mellon will not redeem interest on the Junior Subordinated Debt Securities that it has elected to capitalize, as permitted by the terms of such securities, except with the proceeds raised from the issuance or sale of common stock or rights to purchase common stock. |
• | BNY
Mellon and its subsidiaries will not redeem or repurchase any of the 2007 Securities with limited exceptions, unless: |
◦ | BNY Mellon has obtained the prior approval of the Federal Reserve to do so if such approval is then required under the Federal Reserve’s capital rules applicable to BHCs; and |
◦ | the applicable redemption or repurchase amount does not exceed specified percentages
of the aggregate amount of net cash proceeds that BNY Mellon and its subsidiaries have received since Sept. 11, 2012 from the issuance of common stock or other securities specified in the 2007 RCC that, generally described, based on the standards in effect at the time the 2007 RCC was originally adopted would have been expected to receive equity credit at the time of issuance equal to or greater than the equity credit attributed to the 2007 Securities at the time of such redemption or repayment. |
PART II |
PART
III |
Name
and position | Age | ||
62 | (1) | ||
Chairman | |||
and Chief
Executive Officer | |||
Karen B. Peetz | 58 | (2) | |
President | |||
Curtis
Y. Arledge | 49 | (3) | |
Vice Chairman | |||
Thomas P. (Todd) Gibbons | 57 | (4) | |
Vice
Chairman | |||
and Chief Financial Officer | |||
Timothy F. Keaney | 52 | (5) | |
Vice Chairman | |||
Brian
G. Rogan | 56 | (6) | |
Vice Chairman | |||
Richard F. Brueckner | 64 | (7) | |
Senior
Executive Vice President | |||
Brian T. Shea | 53 | (8) | |
Senior Executive Vice President | |||
Jane
C. Sherburne | 63 | (9) | |
Senior Executive Vice President | |||
General Counsel and Corporate Secretary | |||
61 | (10) | ||
Vice President and Controller |
(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 2009 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 serves as President of The Bank of New York Mellon and BNY Mellon, N.A. From at least 2009 to December 31, 2012, Ms. Peetz served as Chief Executive Officer of Financial Markets and Treasury Services
and Vice Chairman of BNY Mellon, The Bank of New York Mellon and BNY Mellon, N.A. |
(3) | Mr. Arledge has served as Vice Chairman of BNY Mellon since November 2010. Mr. Arledge also serves as Chief Executive Officer of Investment Management and Vice Chairman of The Bank of New York Mellon and BNY Mellon, N.A. From 2008 to November 2010, Mr. Arledge served as Chief Investment Officer for fixed income portfolios at BlackRock, Inc., an investment management firm. |
(4) | Mr.
Gibbons has served as Vice Chairman of BNY Mellon since September 2010 and as Chief Financial Officer of BNY Mellon since at least 2009. Mr. Gibbons also serves as Vice Chairman and Chief Financial Officer of The Bank of New York Mellon and BNY Mellon, N.A. |
(5) | Mr. Keaney has served as Vice Chairman of BNY Mellon since September 2010. Mr. Keaney 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 September 2010 to December 31, 2012, Mr. Keaney served as Chief Executive Officer of Asset Servicing and Vice Chairman of BNY Mellon, The Bank
of New York Mellon and BNY Mellon, N.A. From at least 2009 to September 2010, Mr. Keaney served as Co-Chief Executive Officer of Asset Servicing and Senior Executive Vice President of BNY Mellon, The Bank of New York Mellon and BNY Mellon, N.A. |
(6) | Mr. Rogan has served as Vice Chairman of BNY Mellon since September 2010 and Chief Risk |
(7) | Mr.
Brueckner has served as Senior Executive Vice President of BNY Mellon since at least 2009. Mr. Brueckner also serves as Chief of Staff of BNY Mellon and Senior Executive Vice President of The Bank of New York Mellon and Vice President of BNY Mellon, N.A. From at least 2009 to December 2011, Mr. Brueckner served as Chairman of Pershing LLC, and as Chief Executive Officer of Pershing LLC from at least 2009 to October 2010. |
(8) | Mr. Shea has served as Senior Executive Vice President of BNY Mellon since 2010. Mr. Shea also serves 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,
Chairman of Pershing LLC and Senior Executive Vice President of The Bank of New York Mellon and BNY Mellon, N.A. From October 2010 to December 2012, Mr. Shea served as Chief Executive Officer of Pershing LLC. Mr. Shea served as Chief Operating Officer of Pershing LLC from at least 2009 to October 2010. |
(9) | Ms. Sherburne has served as Senior Executive Vice President, General Counsel and Corporate Secretary of BNY Mellon since May 2010. Ms. Sherburne also serves as Senior Executive Vice President and General Counsel of The Bank of New York Mellon and BNY Mellon, N.A. From 2009 to May 2010, Ms. Sherburne conducted a private legal practice. Ms. Sherburne served as General Counsel for Wachovia
Corporation, a financial services company, from 2008 to 2009. |
(10) | Mr. Park has served as Controller of BNY Mellon since at least 2009 and as Vice President of BNY Mellon since August 2009. Mr. Park also serves as Executive Vice President of The Bank of New York Mellon and BNY Mellon, N.A. and Controller of The Bank of New York Mellon and BNY Mellon, N.A. |
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 | 134-135 | ||
Consolidated Comprehensive Income Statement | 136 | ||
Consolidated
Balance Sheet | 137 | ||
Consolidated Statement of Cash Flows | 138 | ||
Consolidated Statement of Changes in Equity | 139-140 | ||
Notes to Consolidated Financial Statements | 141-214 | ||
Report
of Independent Registered Public Accounting Firm | 215 | ||
Selected Quarterly Data (unaudited) | 124 | ||
(3) | Exhibits | ||
See
(b) below. |
(b) | The exhibits listed on the Index to Exhibits on pages 17 through 27 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 28, 2014 |
Signature | Capacities | |||
By: | Director and Principal Executive Officer | |||
Chairman and Chief Executive Officer | ||||
By: | Principal Financial Officer | |||
Chief Financial Officer | ||||
By: | /s/
John A. Park | Principal Accounting Officer | ||
Controller | ||||
Ruth
E. Bruch; Nicholas M. Donofrio; Edmund F. Kelly; Richard J. Kogan; Michael J. Kowalski; 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 28, 2014 | ||
Attorney-in-fact |
Exhibit | Description | Method
of Filing | |||
2.1 | Amended and Restated Agreement and Plan of Merger, dated as of December 3, 2006, as amended and restated as of February
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. | |||
2.2 | Stock
Purchase Agreement, dated as of February 1, 2010, by and between The PNC Financial Services Group, Inc. and The Bank of New York Mellon Corporation. | 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 February 3, 2010, 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 September 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. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
3.5 | 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, August 11, 2009, February 9, 2010, July 2, 2010, October 12, 2010 and October 8, 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 October 8, 2013 and incorporated
herein by reference. | |||
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, 2013. 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 December 31, 1990, and incorporated herein by reference. | ||
10.2 | * | Amendments dated February 23, 1994 and November
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 December 31, 1993, and incorporated herein by reference. | ||
10.3 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution Plan
dated as of November 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 December 31, 1995, and incorporated herein by reference. | ||
10.4 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution
Plan dated as of November 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 December 31, 2003, and incorporated herein by reference. | ||
10.5 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution
Plan dated as of October 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 December 31, 2006, and incorporated herein by reference. | ||
10.6 | * | The Bank of New
York Company, Inc. Excess Benefit Plan as amended through December 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 December 31, 1992, and incorporated herein by reference. | ||
10.7 | * | Amendment dated as of
August 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 December 31, 1994, and incorporated herein by reference. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | |||
10.8 | * | Amendment
dated as of November 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 December 31, 1995, and incorporated herein by reference. | ||
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 December 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 December 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 December 31, 2005, and incorporated herein by reference. | ||
10.12 | * | Amendment dated as of October 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 December 31, 2006, and incorporated herein by reference. | ||
10.13 | * | Amendment dated as of February 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 February 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 December 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 December 31, 1993, and incorporated herein by reference. | ||
10.16 | * | Amendment dated as of October 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 December 31, 1994, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
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 December 31, 1996, and incorporated herein by reference. | ||
10.18 | * | Amendment dated as of November 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 December 31, 1996, and incorporated herein by reference. | ||
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 September 30, 2000, and incorporated herein by reference. | ||
10.20 | * | Amendment dated as of February 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 December 31, 2000, and incorporated herein by reference. | ||
10.21 | * | Amendment dated as of January 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 December 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 December 31, 1993, and incorporated herein by reference. | ||
10.23 | * | Amendment dated as of November 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 December 31, 1994, and incorporated herein by reference. | ||
10.24 | * | Amendment dated February 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 December 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 September 30, 2000, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
10.26 | * | Amendment dated as of November 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 December 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. | ||
10.28 | * | Form of Restricted Stock Agreement under The Bank of New York Company, Inc.’s 2003 Long-Term Incentive Plan. | Previously filed as Exhibit 10.5 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. | ||
10.29 | * | 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. | ||
10.30 | * | 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. | ||
10.31 | * | Mellon Financial Corporation Stock Option Plan for Outside Directors (2001), effective February 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. | ||
10.32 | * | 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. | ||
10.33 | * | Mellon Financial Corporation 1990 Elective Deferred Compensation Plan for Directors and Members of the Advisory Board, as amended, effective January 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 December 31, 2001, and incorporated
herein by reference. | ||
10.34 | * | Form of Mellon Financial Corporation Elective Deferred Compensation Plan for Directors (Post December 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 October 20, 2006, and incorporated
herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
10.35 | * | The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors, effective January 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 December 31, 2007, and incorporated herein by reference. | ||
10.36 | * | Mellon Financial Corporation Elective Deferred Compensation Plan for Senior Officers, as amended, effective January 1, 2003. | Previously
filed as Exhibit 4.2 to Mellon Financial Corporation’s Registration Statement on Form S-8 (File No. 333-109193) dated September 26, 2003, and incorporated herein by reference. | ||
10.37 | * | Form of Mellon Financial Corporation Elective Deferred Compensation Plan for Senior Officers (Post December 31, 2004). | Previously
filed as Exhibit 99.1 to Mellon Financial Corporation’s Current Report on Form 8-K (File No. 001-07410) as filed with the Commission on October 20, 2006, and incorporated herein by reference. | ||
10.38 | * | Form of Mellon Financial Corporation Elective Deferred Compensation Plan (Post December 31, 2004). | Previously
filed as Exhibit 99.2 to Mellon Financial Corporation’s Current Report on Form 8-K (File No. 001-07410) as filed with the Commission on October 20, 2006, and incorporated herein by reference. | ||
10.39 | * | Mellon Bank IRC Section 401(a)(17) Plan, as amended, effective September 15, 1998. | 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 September 30, 1998, and incorporated herein by reference. | ||
10.40 | * | Mellon Bank Optional Life Insurance Plan, as amended, effective January 15, 1999. | 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 December 31, 1998, and incorporated herein by reference. | ||
10.41 | * | Mellon Bank Executive Life Insurance Plan, as amended, effective January 15, 1999. | Previously filed as Exhibit 10.10 to Mellon Financial Corporation’s Annual Report on Form 10-K (File No. 001-07410)
for the year ended December 31, 1998, and incorporated herein by reference. | ||
10.42 | * | Mellon Bank Senior Executive Life Insurance Plan, as amended, effective January 15, 1999. | Previously filed as Exhibit 10.11 to Mellon Financial Corporation’s Annual Report on Form 10-K (File No. 001-07410) for the year ended December
31, 1998, and incorporated herein by reference. | ||
10.43 | * | 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 December 31, 2004, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
10.44 | * | Description regarding administration and compliance with Section 409A of the Internal Revenue Code for Mellon Financial Corporation. | Previously filed as Item 1.01 to Mellon Financial
Corporation’s Current Report on Form 8-K (File No. 001-07410) as filed with the Commission on February 18, 2005, and incorporated herein by reference. | ||
10.45 | * | Description regarding administration and compliance with Section 409A of the Internal Revenue Code for Mellon Financial Corporation. | Previously filed as Item 1.01(1) to Mellon Financial Corporation’s
Current Report on Form 8-K (File No. 001-07410) as filed with the Commission on December 21, 2005, and incorporated herein by reference. | ||
10.46 | * | Transition Agreement dated as of June 25, 2007, between The Bank of New York Company, Inc. and Gerald L. Hassell. | Previously
filed as Exhibit 10.4 to The Bank of New York Company, Inc.’s Current Report on Form 8-K (File No. 001-06152) as filed with the Commission on June 29, 2007, and incorporated herein by reference. | ||
10.47 | * | 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. | ||
10.48 | Lease dated as of December 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 December 31, 2004, and incorporated herein by reference. | |||
10.49 | * | 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 February 29, 2008, and incorporated herein by reference. | ||
10.50 | * | 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. | ||
10.51 | * | 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. | ||
10.52 | * | Amendment to The Bank of New York Company, Inc. Supplemental Executive Retirement Plan, dated as of January 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 December 31, 2008, and incorporated herein by reference. | ||
10.53 | * | Amendment to The Bank of New York Company, Inc. Amended and Restated 2003 Long-Term Incentive Plan, dated as of January 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 December 31, 2008, and incorporated herein by reference. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
10.54 | * | Amendment to The Bank of New York Company, Inc. Excess Benefit Plan, dated as of January 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 December 31, 2008, and incorporated herein by reference. | ||
10.55 | * | Amendment to The Bank of New York Company, Inc. Excess Contribution Plan, dated as of January 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 December 31, 2008, and incorporated herein by reference. | ||
10.56 | * | Amendment to Transition Agreement, dated December 15, 2008, between The Bank of New York Mellon Corporation and Gerald L. Hassell. | Previously
filed as Exhibit 10.169 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended December 31, 2008, and incorporated herein by reference. | ||
10.57 | * | Amendment to the Mellon Bank IRC Section 401(a)(17) Plan and Mellon Bank Benefit Restoration Plan, dated December 22, 2008. | Previously
filed as Exhibit 10.171 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended December 31, 2008, and incorporated herein by reference. | ||
10.58 | * | Amendment to the Mellon Financial Corporation Executive Deferred Compensation Plan for Senior Officers, dated December 22, 2008. | Previously
filed as Exhibit 10.172 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended December 31, 2008, and incorporated herein by reference. | ||
10.59 | * | Amendment to the Mellon Financial Corporation Executive Deferred Compensation Plan, dated December 22, 2008. | Previously
filed as Exhibit 10.173 to the Company’s Annual Report on Form 10-K (File No. 000-52710) for the year ended December 31, 2008, and incorporated herein by reference. | ||
10.60 | * | 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 September 30, 2009, and incorporated herein by reference. | ||
10.61 | * | 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 September 30, 2009, and incorporated herein by reference. | ||
10.62 | * | 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. | ||
10.63 | * | 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 | |||
10.64 | * | 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 December 31, 2010, and incorporated herein by reference. | ||
10.65 | * | Form
of Executive Restricted Stock Agreement. | Previously filed as Exhibit 10.1 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. | ||
10.66 | * | 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. | ||
10.67 | * | 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. | ||
10.68 | * | 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. | ||
10.69 | * | 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. | ||
10.70 | Stipulation
of Settlement. | Previously filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K (File No. 000-52710) as filed with the Commission on June 7, 2012, and incorporated herein by reference. | |||
10.71 | * | Previously filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K (File No. 001-35651) as filed with the Commission on December 17, 2012, and incorporated herein by reference. | |||
10.72 | * | 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 December 31, 2012, and incorporated herein by reference. |
INDEX
TO EXHIBITS (continued) |
Exhibit | Description | Method of Filing | |||
10.73 | * | 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 December 31, 2012, and incorporated herein by reference. | ||
10.74 | * | 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 December 31, 2012, and incorporated herein by reference. | ||
10.75 | * | 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. | ||
10.76 | * | 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. | ||
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 2013 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. |
INDEX TO EXHIBITS (continued) |
Exhibit | Description | Method
of Filing | |||
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 September 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 December 31, 2012, and incorporated herein by reference. | |||
99.2 | Mellon
Capital IV Amended and Restated Replacement Capital Covenant, dated September 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 December 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. | ||||
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 | ||
---|---|---|---|---|
6/20/22 | ||||
11/15/18 | ||||
Filed on: | 2/28/14 | 4 | ||
1/31/14 | SC 13G/A | |||
For Period end: | 12/31/13 | 11-K, 13F-HR, 13F-HR/A, 5 | ||
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 | |||
12/17/12 | 8-K | |||
12/11/12 | 8-K | |||
9/14/12 | 4, 424B3, 8-A12B | |||
9/13/12 | FWP | |||
9/11/12 | ||||
6/20/12 | ||||
6/7/12 | ||||
5/21/12 | ||||
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 | |||
2/3/10 | 4, 8-K, SC 13G/A | |||
2/1/10 | 4 | |||
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 | |||
12/22/08 | ||||
12/15/08 | ||||
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 | |||
7/1/07 | 3, 4, 4/A | |||
6/30/07 | 10-Q | |||
6/29/07 | 8-K/A, 8-K12G3, S-3D, S-8 | |||
6/25/07 | ||||
6/19/07 | ||||
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 | ||||
9/19/06 | ||||
6/30/06 | ||||
3/15/06 | ||||
1/1/06 | ||||
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