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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Shares | (9) | 02/07/2011 | D(10) | 26,714.5963 | 12/31/2010 | 03/15/2011 | Common Stock | 26,714.5963 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HASSELL GERALD L THE BANK OF NEW YORK MELLON CORPORATION ONE WALL STREET NEW YORK, NY 10286 |
X | President |
/s/ Arlie R. Nogay, Attorney-in-Fact | 02/09/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Not Applicable. |
(2) | On July 30, 2010, Reporting Person received distributions of 53,111 shares and 44,749 shares from GRAT 2008-2 and GRAT 2009-2, respectively, which are reflected in his direct beneficial ownership holdings. |
(3) | Disposition represents forfeiture of restricted stock portion of Performance Share Award granted to the Reporting Person by the Issuer on March 10, 2008. The Reporting Person forfeited 6,411.5963 shares out of a total of 26,714.5963 such shares (including shares from dividend reinvestment) which are included in the pre-forfeiture ownership totals. |
(4) | Shares withheld in payment of tax liability relating to vested protion of Performance Shares. |
(5) | These shares, which were previously reported as directly beneficially owned, were contributed to a grantor retained annuity trust on May 13, 2010. |
(6) | These shares, which were previously reported as directly beneficially owned, were contributed to a grantor retained annuity trust on August 17, 2010. |
(7) | Holdings reported as of 12/30/2010. |
(8) | I disclaim beneficial ownership of these shares. |
(9) | 1-for-1. |
(10) | Disposition represents forfeiture of entire Restricted Share Unit portion of Performance Share Award granted on March 10, 2008. The maximum amount that could have been earned by Reporting Person was represented by the combination of the restricted stock referred to in Footnote 1 above and of this award (and dividend reinvestments). |