-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DhRHRUhYtTC4/ik2u/MIo7Tnmf9r9kLad6PQKvM+l/UkuXI5n3tkfAISEH8zdAm/ qE6SmLnxlMTDFCEDwUR/wg== 0000009626-07-000222.txt : 20070703 0000009626-07-000222.hdr.sgml : 20070703 20070703132904 ACCESSION NUMBER: 0000009626-07-000222 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070629 FILED AS OF DATE: 20070703 DATE AS OF CHANGE: 20070703 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF NEW YORK CO INC CENTRAL INDEX KEY: 0000009626 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 132614959 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE WALL ST 10TH FL CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 212-495-1784 MAIL ADDRESS: STREET 1: ONE WALL STREET 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10286 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HASSELL GERALD L CENTRAL INDEX KEY: 0001209482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06152 FILM NUMBER: 07959333 BUSINESS ADDRESS: STREET 1: BANK OF NEW YORK STREET 2: ONE WALL STREET CITY: NEW YORK STATE: NY ZIP: 10286 4 1 doc.xml PRIMARY DOCUMENT X0202 4 2007-06-29 0000009626 BANK OF NEW YORK CO INC BK 0001209482 HASSELL GERALD L ONE WALL STREET NEW YORK NY 10286 1 1 0 0 President Common Stock (Par Value $7.50) 2007-01-01 5 L 0 E 34.3523 39.16 A 674161.3423 D Common Stock (Par Value $7.50) 2007-01-25 5 G 0 E 700 40.745 D 673461.3423 D Common Stock (Par Value $7.50) 2007-02-02 5 L 0 E 94.8216 40.6498 A 673556.1639 D Common Stock (Par Value $7.50) 2007-02-21 5 G 0 E 8000 42.875 D 616863.1639 D Common Stock (Par Value $7.50) 2007-05-04 5 L 0 E 93.8601 41.2886 A 606801.024 D Common Stock (Par Value $7.50) 2007-06-15 5 G 0 E 3000 42.515 D 626367.024 D Common Stock (Par Value $7.50) 2007-07-01 4 D 0 426367.024 41.5096 D 0 D Common Stock (Par Value $7.50) 2007-07-01 4 D 0 237249.792 41.5096 D 0 I by 401(k) Plan Common Stock (Par Value $7.50) 2007-06-08 5 G 0 E 3553 39.08 A 23480 I by Family Trust Common Stock (Par Value $7.50) 2007-07-01 4 D 0 23480 41.5096 D 0 I by Family Trust Common Stock (Par Value $7.50) 2007-06-08 5 G 0 E 3553 39.08 A 23480 I by Second Family Trust Common Stock (Par Value $7.50) 2007-07-01 4 D 0 23480 41.5096 D 0 I by Second Family Trust Common Stock (Par Value $7.50) 2007-07-01 4 D 0 60000 41.5096 D 0 I by Spouse Agnes Common Stock (Par Value $7.50) 2007-07-01 4 D 0 200000 41.5096 D 0 I GRAT 2007 1/12/99 Stock Options $35.56 35.56 2007-07-01 4 D 0 175000 D 2000-01-12 2009-01-12 Common Stock (Par Value $7.50) 175000 0 D 1/13/98 Stock Options $27.47 27.47 2007-07-01 4 D 0 116360 D 1999-01-13 2008-01-13 Common Stock (Par Value $7.50) 116360 0 D 2/11/03 Stock Options $23.13 23.13 2007-07-01 4 D 0 375000 D 2004-02-11 2013-02-11 Common Stock (Par Value $7.50) 375000 0 D 2/13/01 Stock Options $54.02 54.02 2007-07-01 4 D 0 250000 D 2002-02-13 2011-02-13 Common Stock (Par Value $7.50) 250000 0 D 2/8/00 Stock Options $39.31 39.31 2007-07-01 4 D 0 250000 D 2001-02-08 2010-02-08 Common Stock (Par Value $7.50) 250000 0 D 3/12/02 Stock Options $41.85 41.85 2007-07-01 4 D 0 375000 D 2003-03-12 2012-03-12 Common Stock (Par Value $7.50) 375000 0 D 3/13/2007 Stock Options $38.11 38.11 2007-07-01 4 D 0 202504 D 2008-03-13 2017-03-13 Common Stock (Par Value $7.50) 202504 0 D 3/14/06 Stock Options $34.99 34.99 2007-07-01 4 D 0 165000 D 2007-03-14 2016-03-14 Common Stock (Par Value $7.50) 165000 0 D 3/4/04 Stock Options $33.09 33.09 2007-07-01 4 D 0 175000 D 2005-03-04 2014-03-04 Common Stock (Par Value $7.50) 175000 0 D 4/2/2007 Stock Options $40.41 40.41 2007-07-01 4 D 0 91350 D 2008-04-02 2017-04-02 Common Stock (Par Value $7.50) 91350 0 D 6/29/2007 Stock Options $41.44 41.44 2007-06-29 4 A 0 500000 41.44 A 2008-07-01 2017-06-29 Common Stock (Par Value $7.50) 500000 500000 D 6/29/2007 Stock Options $41.44 41.44 2007-07-01 4 D 0 500000 D 2008-07-01 2017-06-29 Common Stock (Par Value $7.50) 500000 0 D Restricted Stock Units 40.41 2007-07-01 4 D 0 30450 D 2010-04-02 Common Stock (Par Value $7.50) 30450 0 D Reporting person disclaims beneficial ownership of these securities. These shares were previously reported as directly beneficially owned but were contributed to a grantor retained annuity trust on June 27, 2007. These restricted stock units vest on April 2, 2010. Disposed of in exchange for shares of The Bank of New York Mellon Corporation ("BNY Mellon") pursuant to the merger of The Bank of New York Company, Inc. ("BNY") into BNY Mellon. The exchange ratio in the merger was .9434 shares of BNY Mellon for each share of BNY, with fractional shares paid in cash under the merger agreement at a price of $41.5096 per share, except in the case of certain benefit plans, as to which fractional shares will be rolled over. 1/3 vest on 7/1/2008, remaining 2/3 vest monthly pro rata for the twenty-four month period following 7/1/2008. Represents number of stock units held indirectly in employer's stock fund in The Bank of New York Company, Inc. Employee Savings and Investment Plan, a 401(k) Plan, as of June 29, 2007. Previously reported as owned directly in Profit Sharing Plan. These units were disposed of in exchange for stock units of The Bank of New York Mellon Corporation ("BNY Mellon") pursuant to the merger of The Bank of New York Company, Inc. ("BNY") into BNY Mellon. The price shown represents the closing price of Mellon Financial Corporation common stock on June 29, 2007 times .9434 for the shares represented by the units held. Disposed of in exchange for restricted stock units of The Bank of New York Mellon Corporation ("BNY Mellon") pursuant to the merger of The Bank of New York Company, Inc. ("BNY") into BNY Mellon. The exchange ratio in the merger was .9434 shares of BNY Mellon for each share of BNY. 22,566 of these shares have been previously reported as beneficially owned but had been held by Grantor Retained Annuity Trusts until June 8, 2007. Disposed of in exchange for options of The Bank of New York Mellon Corporation ("BNY Mellon") pursuant to the merger of The Bank of New York Company, Inc. ("BNY") into BNY Mellon. The exchange ratio in the merger was .9434 shares of BNY Mellon for each share of BNY. Contribution of shares to a family trust. Reporting person has the right to reacquire the shares by substituting other property of equal value. Gerald L. Hassell 2007-07-03 -----END PRIVACY-ENHANCED MESSAGE-----