SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Bank of New York Mellon Corp (BNY Mellon) for the quarter ended September 30, 2016. The report was signed by Nicholas R. Darrow, Senior Vice President, on November 3, 2016. It is classified as a 13F Combination Report, indicating that BNY Mellon reports a portion of its holdings directly while other portions are reported by 38 other included institutional investment managers.
Key Financial Metrics
As a Form 13F filing, this document discloses equity holdings rather than the issuer's operational financial performance (e.g., revenue, profit, or cash flow). The filing provides the following aggregate data regarding the assets under management reported:
- Total Value of Reported Holdings: $336,112,645,000 (336,112,645 thousands)
- Total Number of Holdings Entries: 22,845
- Number of Other Included Managers: 38
Note: The filing text does not provide values for revenue, profit, margins, debt, or liquidity for Bank of New York Mellon Corp itself, as this form is designed to disclose investment positions, not corporate financial statements.
Material Changes and Portfolio Composition
The filing lists 38 other institutional investment managers for whom BNY Mellon is reporting holdings. Notable included managers in this combination report include:
- 1832 Asset Management L.P.
- Kellogg W K Foundation Trust
- Johnston Asset Management LLC
- Managed Asset Portfolios, LLC
- Mawer Investment Management Ltd.
- Aberdeen Asset Management PLC/UK
- The Boston Company Asset Management, LLC
- BNY Mellon Trust of Delaware
- Mellon Capital Management Corporation
- The Dreyfus Corporation
- Newton Investment Management (North America) Limited
- Standish Mellon Asset Management Company LLC
- CenterSquare Investment Management, Inc.
- Fayez Sarofim & Co.
- Neuberger Berman Management, LLC
- Brown Brothers Harriman & Co.
The filing indicates that BNY Mellon has initiated the process to obtain 13F File Numbers for 5 of the other included managers within this report.
Guidance, Outlook, and Risks
Guidance and Outlook: The filing text does not provide management commentary, future guidance, or outlook regarding the company's business operations or market conditions.
Risks and Contingencies: The filing includes a standard disclaimer stating that the Securities and Exchange Commission has not reviewed the information and has not determined if it is accurate or complete. Readers are advised not to assume the information is accurate or complete.
Key Facts for Investor Verification
- Verify the total reported value of $336.1 billion against the sum of individual holdings schedules (not included in this summary text) to ensure accuracy.
- Confirm the specific breakdown of holdings between BNY Mellon's direct reporting and the 38 other included managers, as this is a combination report.
- Note that this document does not reflect BNY Mellon's own financial health (earnings, debt, cash flow); refer to Form 10-Q or 10-K for operational metrics.
- Check for any amendments or restatements filed after the November 3, 2016 signing date.