Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Bank of New York Mellon Corp for the quarter ended June 30, 2013. The report discloses the equity holdings of the institutional investment manager and 32 other included managers. The filing was signed on August 13, 2013, by Nicholas R. Darrow, Senior Vice President.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than the operating financial performance (revenue, profit, cash flow) of Bank of New York Mellon Corp itself. The following metrics relate to the reported investment portfolio:
- Total Portfolio Value: $314,077,906,000 (reported in thousands).
- Total Number of Holdings: 22,742 entries.
- Number of Included Managers: 32 other managers are included in this consolidated report.
Material Changes and Unusual Items
The filing contains specific notes regarding data reporting limitations and exclusions:
- Share Count Limitation: Due to character limits in the reporting form, the total number of shares (129,622,276) held in CUSIP 852061100 by Included Manager No. 40 is reported as 99,999,999.
- Lehman Bankruptcy Exclusion: Certain Section 13(f) securities subject to the Lehman bankruptcy proceeding are omitted because BNY Mellon currently lacks investment discretion over them. These will be included in future filings once discretion is regained.
- New Filings: BNY Mellon has initiated the process to obtain 13F File Numbers for 5 of the other included managers.
Guidance, Outlook, and Risks
The filing text does not provide management commentary, financial guidance, or outlook for Bank of New York Mellon Corp. The primary risk disclosed relates to the temporary inability to report specific securities tied to the Lehman bankruptcy proceedings until investment discretion is restored.
Investor Verification Checklist
- Verify the total portfolio value of approximately $314 billion against other regulatory filings.
- Confirm the specific holdings of Included Manager No. 40 (Newton Investment Management Limited) regarding CUSIP 852061100, noting the reported cap of 99,999,999 shares.
- Monitor future filings for the inclusion of securities currently excluded due to the Lehman bankruptcy proceedings.
- Note that this document reflects holdings managed by BNY Mellon and its affiliates, not the company's own balance sheet or income statement.