SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
Reporting Manager: Bank of New York Mellon Corp
Reporting Period: Quarter ended September 30, 2013
Filing Date: November 13, 2013
Report Type: 13F Combination Report (includes holdings for 32 other included managers)
This filing discloses the equity holdings of Bank of New York Mellon Corp and its affiliated managers. It is a regulatory disclosure of investment positions, not a financial performance report of the bank itself.
Key Financial Metrics
Total Value of Reported Securities: $335,139,297,000 (335.1 billion)
Total Number of Holdings Entries: 22,775
Number of Other Included Managers: 32
Note: As a Form 13F filing, this document does not contain revenue, profit, cash flow, margins, debt, or liquidity metrics for Bank of New York Mellon Corp. It strictly reports the aggregate value of securities held under investment discretion.
Material Changes and Omissions
- Lehman Bankruptcy Omission: Certain Section 13(f) securities have been omitted from this report because they are subject to the Lehman bankruptcy proceeding. BNY Mellon currently lacks investment discretion over these securities and will report them once discretion is regained.
- Administrative Updates: BNY Mellon has initiated the process to obtain 13F File Numbers for 5 of the "Other Included Managers" listed in this report.
Guidance, Outlook, and Risks
Management Commentary: The filing contains no forward-looking guidance, outlook, or management commentary regarding future performance or strategy.
Risks and Contingencies: The primary contingency noted is the temporary inability to report specific securities due to the ongoing Lehman bankruptcy proceedings, which restricts investment discretion.
Key Facts for Investor Verification
- Scope of Data: Verify that the $335.1 billion figure represents the aggregate value of securities held for clients and other managers, not the bank's own balance sheet assets.
- Missing Holdings: Confirm that the omission of Lehman-related securities does not materially impact the total reported value for specific investment strategies.
- Manager Attribution: Note that this is a combination report; specific holdings are attributed to 32 different managers, including The Boston Company Asset Management, Mellon Capital Management, and The Dreyfus Corporation.