Form D/A

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
BANK OF NEW YORK MELLON CORP
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • BANK OF NEW YORK MELLON CORP
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

ONE WALL STREET
NEW YORK, NY 10286
Phone Number: subscription required

Item 3. Related Persons

Name
GERALD L. HASSELL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHAIRMAN AND CHIEF EXECUTIVE OFFICER

Item 3. Related Persons

Name
CURTIS Y. ARLEDGE
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF EXECUTIVE OFFICER, INVESTMENT MANAGEMENT

Item 3. Related Persons

Name
RICHARD F. BRUECKNER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF OF STAFF

Item 3. Related Persons

Name
THOMAS P. GIBBONS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER

Item 3. Related Persons

Name
TIMOTHY F. KEANEY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF EXECUTIVE OFFICER, INVESTMENT SERVICES

Item 3. Related Persons

Name
JOHN A. PARK
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CONTROLLER

Item 3. Related Persons

Name
KAREN B. PEETZ
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRESIDENT

Item 3. Related Persons

Name
BRIAN G. ROGAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF RISK OFFICER

Item 3. Related Persons

Name
JANE C. SHERBURNE
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
GENERAL COUNSEL AND CORPORATE SECRETARY

Item 3. Related Persons

Name
RUTH E. BRUCH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
NICHOLAS M. DONOFRIO
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
EDMUND F. KELLY
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
RICHARD J. KOGAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MICHAEL J. KOWALSKI
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOHN A. LUKE, JR.
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MARK A. NORDENBERG
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
CATHERINE A. REIN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
WILLIAM C. RICHARDSON
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
SAMUEL C. SCOTT
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
WESLEY W. VON SCHACK
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
BRIAN T. SHEA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRESIDENT, INVESTMENT SERVICES; HEAD OF CLIENT SERVICE DELIVERY AND CLIENT TECHNOLOGY SOLUTIONS; CHAIRMAN, PERSHING LLC

Item 4. Industry Group

OTHER BANKING AND FINANCIAL SERVICES

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

Amendment
Date of First Sale in this Offering:
07/08/2010

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
Yes

Item 9. Type(s) of Securities Offered

  • Debt

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
250000

Item 12. Sales Compensation

Recipient
MERRILL LYNCH, PIERCE, FENNER SMITH INCORPORATED
Recipient CRD Number
7691
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE BRYANT PARK
NEW YORK, NY 10036
States of Solicitation
  • ALL STATES

Item 12. Sales Compensation

Recipient
BNY MELLON CAPITAL MARKETS, LLC
Recipient CRD Number
17454
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
32 OLD SLIP, 15TH FLOOR
NEW YORK, NY 10286
States of Solicitation
  • ALL STATES

Item 13. Offering and Sales Amounts

Total Offering Amount
5000000000
Total Amount Sold
1948000000
Total Remaining to be Sold
3052000000
Clarification of Response
THE TOTAL OFFERING AMOUNT REPRESENTS THE MAXIMUM AMOUNT OF OUR COMMERCIAL PAPER NOTES OUTSTANDING AT ANY ONE TIME. THE TOTAL AMOUNT SOLD REPRESENTS THE PRINCIPAL AMOUNT OF OUR COMMERCIAL PAPER NOTES OUTSTANDING ON SEPTEMBER 30, 2013.

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
46

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
120000.0 Is an estimate
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response

Signature and Submission

Notice has been signed on behalf by the undersigned duly authorized person
Issuer Name
BANK OF NEW YORK MELLON CORP
Issuer Signature
/S/ CRAIG T. BEAZER
Signer Name
CRAIG T. BEAZER
Signer Title
ASSISTANT SECRETARY
Signature Date
10/03/2013
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