Bank of New York Mellon Corp
For the period ended Sep 30, 2026. Filed Oct 30, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Oct 30, 2026
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Item 5. Other Information
(c)Certain of our officers or directors have made elections to participate in, and are participating in, our dividend reinvestment plan, employee stock purchase plan and 401(k) plan, and have
made, and may from time to time make, elections to have shares withheld to cover withholding taxes or pay the exercise price of stock awards, which may be designed to satisfy the affirmative defense conditions of Rule 10b5-1 under the Exchange Act or may constitute non-Rule 10b5-1 trading arrangements (as defined in Item 408(c) of Regulation S-K).
On Aug. 27, 2026, trading commenced under a Rule 10b5-1 trading arrangement (as defined in Item 408(a) of Regulation S-K)adopted by Jose Minaya, Global Head of BNY Investments and Wealth, that is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The trading arrangement was adopted on May 20, 2026, provides for the sale of up to 42,240 shares and will expire on Aug. 27, 2027, subject to earlier termination or completion in accordance with its terms.
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