Welcome to our dedicated page for Bank New York Mellon SEC filings (Ticker: BK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Access regulatory filings submitted by The Bank of New York Mellon Corporation to the Securities and Exchange Commission. As a publicly traded financial holding company, BNY files periodic reports that provide detailed information about its financial condition, business operations, risk factors, governance structure, and material developments. These filings offer transparency into one of the world's largest custody banks and investment services providers.
Quarterly reports on Form 10-Q and annual reports on Form 10-K contain financial statements, management discussion and analysis, and disclosures about the company's business segments including Investment Services and Investment Management. The financial statements break down revenue by service line such as asset servicing fees, clearing fees, investment management fees, treasury services fees, and securities lending revenue. These disclosures allow investors to track how different parts of BNY's business are performing and how market conditions affect fee-based revenue streams.
The Management's Discussion and Analysis sections explain trends in assets under custody and administration, assets under management, client activity levels, fee rate dynamics, and operational metrics. Given BNY's role as a service provider to institutional investors, these discussions often include observations about market volatility, client asset allocation decisions, cross-border investment flows, and demand for various custody and administration services. The company also discloses information about technology investments, digital asset initiatives, and operational improvements that affect its capacity to serve clients efficiently.
Risk factor disclosures in annual reports identify potential challenges facing the business, including operational risks from processing high transaction volumes, cybersecurity threats, regulatory compliance requirements, competition from other custody banks and service providers, reliance on financial market activity levels, interest rate sensitivity, and the impact of market volatility on asset-based fees. These sections provide context for understanding the factors that could affect BNY's financial performance and the broader environment in which custody banks operate.
Current reports on Form 8-K disclose material events such as leadership changes, strategic transactions, amendments to credit agreements, earnings releases, dividend declarations, and other developments requiring prompt public disclosure. Proxy statements filed on Schedule 14A provide information about board composition, executive compensation, corporate governance practices, and matters submitted to shareholder votes. Beneficial ownership reports on Forms 3, 4, and 5 track insider transactions, showing when directors and officers buy or sell company stock.
Investors analyzing BNY's filings can evaluate the company's financial stability, capital position, revenue diversification, expense management, and strategic priorities. The filings also offer insights into industry dynamics affecting custody banks, including margin compression from fee competition, client demand for integrated technology platforms, regulatory capital requirements for systemically important institutions, and the evolution of new services around digital assets and data analytics. This comprehensive filing history serves as an authoritative resource for understanding BNY's business model, financial health, and position within the financial services industry.
Bank of New York Mellon Corp filed an initial beneficial ownership report on Form 3 for a director of the company. The filing states that the reporting person is a director of Bank of New York Mellon Corp and that they currently hold no non-derivative securities of the company, with "0" shares beneficially owned directly. The form also shows no derivative securities, such as options or warrants, reported as beneficially owned. A power of attorney (Exhibit 24) authorizes an attorney-in-fact to sign the form on the reporting person's behalf.
Bank of New York Mellon Corporation reported new equity awards for its Chairman and CEO. On 12/09/2025, the executive received 215,648 shares of common stock at a price of $0, described as restricted stock units granted under the company’s 2023 Long-Term Incentive Plan. These units are scheduled to vest in two equal installments on the fifth and sixth anniversaries of the grant date and will be settled in common stock when vested.
The executive also received a stock option covering 869,263 shares of common stock at an exercise price of $115.93 per share. These options are scheduled to vest and become exercisable in two equal installments on the fifth and sixth anniversaries of the grant date and are shown with an expiration date of 12/09/2035.
The Bank of New York Mellon Corporation announced two board-level actions. The Board elected Charles F. Lowrey as an independent director, effective February 15, 2026, which will bring the Board to 12 directors. He will receive customary non-management director compensation as described in the company’s March 5, 2025 proxy statement.
The Human Resources and Compensation Committee also approved a long-term equity award for Chairman and CEO Robin Vince, consisting of $25.0 million in restricted stock units and 869,263 stock options. The grant date value and option exercise price are based on the stock’s closing price on the grant date, and both the RSUs and options vest in two equal installments on the fifth and sixth anniversaries of the grant date, subject to his continued employment. Net shares from option exercises are subject to a two-year holding period, and the award is covered by the company’s clawback policy and stock ownership guidelines.
Bank of New York Mellon (BK) Senior Executive Vice President reported a charitable gift of 925 shares of common stock on 11/06/2025, coded “G” for gift. The shares were transferred at $0 to a charitable donor‑advised fund.
Following the transaction, the reporting person directly owns 50,865 shares. This filing reflects a personal charitable transfer and not an open‑market sale.
Bank of New York Mellon (BK) filed a Form 4 reporting that its Chief Financial Officer made a charitable gift of common stock. On 10/31/2025, the officer transferred 937 shares (transaction code G) at a reported price of $0, described as a gift to a donor‑advised fund.
Following the transaction, the officer beneficially owns 272,061 shares of common stock, held directly.
Bank of New York Mellon Corp (BK) filed a Form 13F combination report, indicating a portion of its reportable positions are reported by other managers.
The filing lists a Form 13F information table value total of $557,435,801,272 across 32,572 entries. It also identifies 18 other included managers and names other managers reporting for this manager, including CenterSquare Investment Management LLC and Fayez Sarofim & Co.
BNY Mellon (BK) filed an 8-K announcing it released information on financial results for the third quarter ended September 30, 2025, and will host a conference call and webcast on October 16, 2025 to discuss results and outlook.
The filing includes: Exhibit 99.1 (Earnings Release; with a quoted Excluded Section not deemed “filed”), Exhibit 99.2 (Financial Supplement; deemed “filed”), and Exhibit 99.3 (Quarterly Update Presentation; not deemed “filed”). Exhibit 104 contains the cover page Inline XBRL tags.
Securities registered under Section 12(b) include Common Stock (BK), 6.244% Fixed-to-Floating Rate Normal Preferred Capital Securities of Mellon Capital IV (BK/P), and Depositary Shares representing a 1/4,000th interest in Series K Noncumulative Perpetual Preferred (BK PRK).
Bank of New York Mellon Corporation and certain subsidiaries report beneficial ownership of
Elizabeth Robinson, a director of Bank of New York Mellon Corporation (BK), reported a transaction dated 10/01/2025 under Form 4. The filing shows the acquisition of 99.457 phantom shares pursuant to a prior election under the company's Deferred Compensation Plan for Directors, with a reported price of $106.83 per share equivalent. The filing lists 5,097.7033 shares as beneficially owned following the reported transaction and identifies the ownership form as Direct. The Form 4 was signed by Jean Weng, Attorney-in-Fact on 10/03/2025. The disclosure notes the phantom stock is payable at a specified future date in shares of common stock.
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