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 for the quarter ended March 31, 2014. The report was signed on May 14, 2014, by Nicholas R. Darrow, Senior Vice President. It serves as a 13F Combination Report, covering holdings for the primary manager and 37 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 the Bank of New York Mellon Corp itself. The following metrics relate to the aggregate portfolio managed under this filing:
- Total Portfolio Value: $363,491,344,000 (reported in thousands).
- Total Number of Holdings: 22,368 entries.
- Number of Included Managers: 37 other managers are included in this consolidated report.
Note: The filing text does not provide values for revenue, profit, margins, debt, or liquidity for the Bank of New York Mellon Corp as an operating entity.
Material Changes and Disclosures
The filing contains specific disclosures regarding the scope of reported securities:
- 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 5 of the "Other Included Managers" listed in this report.
Guidance, Outlook, and Risks
This filing type does not contain management guidance, future outlook, or operational risk commentary. The primary risk disclosure relates to the temporary inability to report specific securities tied to the Lehman bankruptcy proceedings due to a lack of investment discretion.
Key Facts for Investor Verification
- Verify the distinction between this filing (investment holdings) and the company's 10-Q/10-K filings (operating results).
- Confirm the total aggregate value of $363.5 billion represents the combined assets under management for BNY Mellon and its 37 affiliated managers.
- Note the exclusion of Lehman-related securities from the current count of 22,368 holdings.
- Review the list of 37 "Other Included Managers" to understand the full scope of the consolidated reporting.