BNY

SEC source: 0001209191-18-025971 · doc4.xml · derivative · entry 1

Goldstein Jeffrey A · CIK 0001375299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,816.4225

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025977 · doc4.xml · derivative · entry 1

KELLY EDMUND F · CIK 0001280427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,293.5152

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025964 · doc4.xml · derivative · entry 1

COOK LINDA Z · CIK 0001270438 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,175.0466

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025988 · doc4.xml · derivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,669.981

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F3 · derivative.exercise_price: 1-for-1.

F5 · price: Not Applicable.

F4 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Issuer's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock, either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning on the 30th day following grantee's termination of service as a director of the Issuer. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F4 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Issuer's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock, either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning on the 30th day following grantee's termination of service as a director of the Issuer. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025984 · doc4.xml · derivative · entry 1

NORDENBERG MARK A · CIK 0001184651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,293.5152

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025962 · doc4.xml · derivative · entry 1

BLACK STEVEN D · CIK 0001197618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,345

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025996 · doc4.xml · derivative · entry 1

SCOTT SAMUEL C III · CIK 0001202862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,058.1612

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-025973 · doc4.xml · derivative · entry 1

Hinshaw John M · CIK 0001534787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,669.981

Underlying: Common Stock · 2,345 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2019 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-18-023695 · doc4.xml · nonDerivative · entry 1

Morgan Jennifer B. · CIK 0001691867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,848.8475

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-18-023672 · doc4.xml · nonDerivative · entry 1

Echevarria Joseph · CIK 0001633137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,950.8429

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-18-023682 · doc4.xml · nonDerivative · entry 1

Goldstein Jeffrey A · CIK 0001375299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,393.2791

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-18-023688 · doc4.xml · nonDerivative · entry 1

Hinshaw John M · CIK 0001534787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,231.3488

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-18-018697 · doc4.xml · nonDerivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 16,127,272

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchases is $56.93 to $57.21. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners Strategic Fund-K, L.P., and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F3 · ownership.nature: (FN 2, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.

SEC source: 0001209191-18-018697 · doc4.xml · nonDerivative · entry 1

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 16,022,872

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchases is $55.93 to $56.925. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners Strategic Fund-K, L.P., and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F3 · ownership.nature: (FN 2, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.

SEC source: 0001209191-18-014523 · doc4.xml · nonDerivative · entry 1

Engle Bridget E. · CIK 0001709119 · Sr. Exec. Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,577

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014531 · doc4.xml · nonDerivative · entry 2

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,594.779

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014531 · doc4.xml · nonDerivative · entry 1

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,104.138

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014527 · doc4.xml · nonDerivative · entry 2

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,430.9721

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014527 · doc4.xml · nonDerivative · entry 1

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,106.0391

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014556 · doc4.xml · nonDerivative · entry 2

McCarthy J Kevin · CIK 0001386987 · Director · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,608.734

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014556 · doc4.xml · nonDerivative · entry 1

McCarthy J Kevin · CIK 0001386987 · Director · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,243

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014570 · doc4.xml · nonDerivative · entry 2

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,648.132

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014570 · doc4.xml · nonDerivative · entry 1

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,060

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014574 · doc4.xml · nonDerivative · entry 1

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,925

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014563 · doc4.xml · nonDerivative · entry 2

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,648.132

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014563 · doc4.xml · nonDerivative · entry 1

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,060

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014560 · doc4.xml · nonDerivative · entry 1

Santomassimo Michael P. · CIK 0001725890 · Sr. Exec.VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,207

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014553 · doc4.xml · nonDerivative · entry 1

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,352

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014548 · doc4.xml · nonDerivative · entry 1

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,188

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014540 · doc4.xml · nonDerivative · entry 2

Kablawi Hani A. · CIK 0001727089 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,843.7951

F2 · shares: Award of Restricted Stock Units under The Bank of New York Mellon Long-Term Incentive Plan. Units vest and are settled in shares of Common Stock at grant. After-tax shares are subject to a six-month holding period in compliance with the Remuneration Code of the Financial Services Authority of the United Kingdom.

SEC source: 0001209191-18-014540 · doc4.xml · nonDerivative · entry 1

Kablawi Hani A. · CIK 0001727089 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,092.7951

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-014535 · doc4.xml · nonDerivative · entry 2

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,942.491

F2 · shares: Represents Performance Shares Units granted in February 2015 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 26, 2018. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 20, 2018.

SEC source: 0001209191-18-014535 · doc4.xml · nonDerivative · entry 1

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,792

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-third beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-18-013378 · doc4.xml · nonDerivative · entry 1

Engle Bridget E. · CIK 0001709119 · Sr. Exec. Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,046

F1 · price: Represents the weighted average price of shares sold with actual prices ranging from $56.495 to $56.72. Upon request by the SEC staff, the issuer, or any security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price within this range.

SEC source: 0001209191-18-012435 · doc4.xml · nonDerivative · entry 1

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,865.138

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012433 · doc4.xml · nonDerivative · entry 1

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,813.0391

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012447 · doc4.xml · nonDerivative · entry 1

McCarthy J Kevin · CIK 0001386987 · Director · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,431

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012453 · doc4.xml · nonDerivative · entry 1

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,428

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012456 · doc4.xml · nonDerivative · entry 1

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,107

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012443 · doc4.xml · nonDerivative · entry 1

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,148

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012441 · doc4.xml · nonDerivative · entry 1

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,833

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012440 · doc4.xml · nonDerivative · entry 1

Kablawi Hani A. · CIK 0001727089 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,522.7951

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-012437 · doc4.xml · nonDerivative · entry 1

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,871

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011939 · doc4.xml · nonDerivative · entry 2

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,705.138

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011935 · doc4.xml · nonDerivative · entry 2

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,714.0391

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011973 · doc4.xml · nonDerivative · entry 2

McCarthy J Kevin · CIK 0001386987 · Director · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,576

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011980 · doc4.xml · nonDerivative · entry 2

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,477

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011977 · doc4.xml · nonDerivative · entry 2

Shulman Douglas H. · CIK 0001726926 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,998

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011968 · doc4.xml · nonDerivative · entry 2

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,481

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.

SEC source: 0001209191-18-011955 · doc4.xml · nonDerivative · entry 2

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,497

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit award.