SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR (Holdings Report) submitted by Bank of New York Mellon Corp (BNY Mellon) for the calendar quarter ended December 31, 2014. The report was signed on February 17, 2015, by Nicholas R. Darrow, Senior Vice President. This is a combination report covering holdings for BNY Mellon and 40 other included institutional investment managers.
Key Financial Metrics
As a Form 13F filing, this document reports investment holdings rather than the operating financial performance (revenue, profit, cash flow) of BNY Mellon itself. The following metrics relate to the assets under management discretion reported in this filing:
- Total Value of Reported Securities: $382,346,839,000 (382.3 billion USD).
- Total Number of Holdings Entries: 23,349.
- Number of Other Included Managers: 40.
- Revenue, Profit, Margins, Debt, Liquidity: Not applicable. This filing type does not contain operating financial statements for the reporting manager.
Material Changes and Disclosures
The filing contains specific disclosures regarding the scope of reported assets:
- Lehman Bankruptcy Omissions: Certain Section 13(f) securities have been omitted 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.
- New File Numbers: BNY Mellon has initiated the process to obtain 13F File Numbers for 4 of the other included managers within this report.
- Comparison to Prior Period: The provided text does not contain data for the prior comparable period (Q3 2014) to calculate material changes in total value or holdings count.
Guidance, Outlook, and Risks
Form 13F filings are historical reports of holdings and do not contain forward-looking guidance, management commentary on future strategy, or risk factors regarding the company's operations. The primary risk disclosed in this text is the temporary inability to report specific securities due to the Lehman bankruptcy proceedings.
Key Facts for Investor Verification
- Verify the total value of $382.3 billion represents the aggregate holdings of BNY Mellon and its 40 affiliated managers, not just BNY Mellon's proprietary assets.
- Confirm that the omission of Lehman-related securities does not materially impact the total reported value for the specific investment strategies being analyzed.
- Note that this filing reflects positions as of December 31, 2014, and does not reflect subsequent trading activity.
- Check the list of 40 included managers to ensure the scope of the data aligns with the specific investment entities of interest.