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Bank of New York Mellon Corp. – ‘8-K’ for 1/20/21

On:  Wednesday, 1/20/21, at 6:36am ET   ·   For:  1/20/21   ·   Accession #:  1390777-21-4   ·   File #:  1-35651

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

 1/20/21  Bank of New York Mellon Corp.     8-K:2,7,9   1/20/21   15:6.6M

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     30K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    229K 
 3: EX-99.2     Miscellaneous Exhibit                               HTML    441K 
 4: EX-99.3     Miscellaneous Exhibit                               HTML     51K 
11: R1          Document and Entity Information                     HTML     52K 
13: XML         IDEA XML File -- Filing Summary                      XML     13K 
10: XML         XBRL Instance -- bk-20210120_htm                     XML     27K 
12: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 6: EX-101.CAL  XBRL Calculations -- bk-20210120_cal                 XML      7K 
 7: EX-101.DEF  XBRL Definitions -- bk-20210120_def                  XML     45K 
 8: EX-101.LAB  XBRL Labels -- bk-20210120_lab                       XML     91K 
 9: EX-101.PRE  XBRL Presentations -- bk-20210120_pre                XML     45K 
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14: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    22K 
15: ZIP         XBRL Zipped Folder -- 0001390777-21-000004-xbrl      Zip    110K

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:  C: 
  bk-20210120  
 i 0001390777 i false00013907772021-01-202021-01-200001390777exch:XNYSus-gaap:CommonStockMember2021-01-202021-01-200001390777exch:XNYSus-gaap:PreferredStockMember2021-01-202021-01-20

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM  i 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) –  i January 20, 2021
 i THE BANK OF NEW YORK MELLON CORPORATION
(Exact name of registrant as specified in its charter)
 i Delaware i 001-35651 i 13-2614959
(State or other jurisdiction
of incorporation)		(Commission
File Number)		(I.R.S. Employer
Identification No.)

 i 240 Greenwich Street
 i New York,  i New York  i 10286
(Address of principal executive offices) (Zip Code)

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

Not Applicable
(Former name or former address, if changed since last report)

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

 i ☐    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i ☐    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i ☐    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i ☐    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading
symbol(s)		Name of each exchange
on which registered
 i Common Stock, $0.01 par value i BK i New York Stock Exchange
 i 6.244% Fixed-to-Floating Rate Normal Preferred Capital Securities of Mellon Capital IV i BK/P i New York Stock Exchange
 (fully and unconditionally guaranteed by The Bank of New York Mellon Corporation)

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

Emerging growth company  i ☐

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


ITEM 2.02.    RESULTS OF OPERATIONS AND FINANCIAL CONDITION.

On January 20, 2021, The Bank of New York Mellon Corporation (“BNY Mellon”) released information on its financial results for the fourth quarter ended Dec. 31, 2020. Copies of the Earnings Release and the Financial Supplement are attached hereto as Exhibit 99.1 and Exhibit 99.2, respectively, and are incorporated herein by reference.


ITEM 7.01.    REGULATION FD DISCLOSURE.

On January 20, 2021, BNY Mellon will hold a conference call and webcast to discuss its financial results for the fourth quarter ended Dec. 31, 2020 and outlook. A copy of the Financial Highlights presentation for the conference call and webcast is attached hereto as Exhibit 99.3.


ITEM 9.01.    FINANCIAL STATEMENTS AND EXHIBITS.


    (d)    EXHIBITS.
Exhibit
NumberDescription
99.1 
The quotation in Exhibit 99.1 (the “Excluded Section”) shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Exchange Act”) or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of BNY Mellon under the Securities Act of 1933 or the Exchange Act. The information included in Exhibit 99.1, other than in the Excluded Section, shall be deemed “filed” for purposes of the Exchange Act.
99.2 
The information included in Exhibit 99.2 shall be deemed “filed” for purposes of the Exchange Act.
99.3 
The information included in Exhibit 99.3 shall not be deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of BNY Mellon under the Securities Act of 1933 or the Exchange Act.
104 Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document.
2

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
The Bank of New York Mellon Corporation
(Registrant)

Date: January 20, 2021
Name: James J. Killerlane III
Title: Secretary



3

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:1/20/214
12/31/2010-K,  11-K,  13F-HR,  13F-HR/A
 List all Filings 

4 Subsequent Filings that Reference this Filing

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

12/10/21  Bank of New York Mellon Corp.     424B2      12/09/21    1:863K                                   Donnelley … Solutions/FA
12/09/21  Bank of New York Mellon Corp.     S-3ASR     12/09/21    9:1.2M                                   Donnelley … Solutions/FA
11/10/21  Bank of New York Mellon Corp.     424B2                  1:772K                                   Donnelley … Solutions/FA
11/08/21  Bank of New York Mellon Corp.     424B2                  1:761K                                   Donnelley … Solutions/FA
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