| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/03/2020 |
3. Issuer Name and Ticker or Trading Symbol
Bank of New York Mellon Corp [ BK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 89,000,000 | I | See Footnotes(1)(2)(3)(4)(5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. 81,488,751 of the total reported securities are owned directly by the following subsidiaries of Berkshire Hathaway Inc. ("Berkshire"): AmGUARD Insurance Company (132,000), Berkshire Hathaway Assurance Corporation (5,088,000), Berkshire Hathaway Direct Insurance Company (132,000), Berkshire Hathaway Homestate Insurance Company (2,148,000), Berkshire Hathaway International Insurance Ltd. (783,000), Berkshire Hathaway Life Insurance Company of Nebraska (1,793,915), Berkshire Hathaway Specialty Insurance Company (10,839,000), Brilliant National Services, Inc. (111,000), Cypress Insurance Company (776,000), Finial Reinsurance Company (1,106,000), Government Employees Insurance Company (6,160,384), GEICO Advantage Insurance Company (330,000), General Re Life Corporation (946,000), General Reinsurance Corporation (7,517,193), General Star Indemnity Company (537,750), General Star National Insurance Company (131,000), Genesis Insurance Company (103,000), |
| 2. Continued from footnote 1: The Medical Protective Company (6,677,000), MPP Company, Inc. (1,092,000), Mount Vernon Fire Insurance Company (1,590,000), National Fire & Marine Insurance Company (3,854,463), National Indemnity Company (21,451,996), National Liability & Fire Insurance Company (2,140,000), National Indemnity Company of Mid America (568,400), National Indemnity Company of the South (388,000), NorGUARD Insurance Company (132,000), NRG America Holding Company (214,000), Oak River Insurance Company (746,000), Old United Casualty Company (268,000), Princeton Insurance Company (642,000), Radnor Specialty Insurance Company (93,000), Redwood Fire and Casualty Insurance Company (2,064,800), United States Liability Insurance Company (750,000), United States Underwriters Insurance Company (152,782) and WestGUARD Insurance Company (30,068). |
| 3. Continued from footnote 2: In order to avoid double counting, shares of Common Stock reported as being owned by each of these subsidiaries only reflect shares that are owned directly by such subsidiary, and do not reflect any shares that such subsidiary may be deemed to beneficially own by virtue of ownership or control of any other subsidiary otherwise reported in this Form 3. As Berkshire is in the chain of ownership of each subsidiary listed above, it may be deemed presently to both beneficially own and have a pecuniary interest in all shares of Common Stock presently directly owned by such subsidiaries. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares of Common Stock presently owned by each of these subsidiaries. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of except to the |
| 4. Continued from Footnote 3: extent of his pecuniary interest therein. |
| 5. 7,511,249 of the total reported securities are owned directly by the following pension plans of Berkshire's subsidiaries: Berkshire Hathaway Consolidated Pension Plan Master Retirement Trust (6,748,092), BNSF Master Retirement Trust (412,657) and Precision CastParts Corp Master Trust (350,500). Each of Berkshire, Mr. Buffett and these pension plans disclaim beneficial ownership in such shares. |
| Remarks: |
| /s/ Warren E. Buffett, on behalf of himself and each other reporting person hereunder | 03/13/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||