Bank of New York Mellon : FRY9C March 2020

Bank of New York Mellon : FRY9C March 2020

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US0640581007

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May 22, 2020 at 11:26 am EDT

FR Y-9C

OMB Number 7100-0128

Approval expires June 30, 2023

Page 1 of 73

Board of Governors of the Federal Reserve System

Consolidated Financial Statements for

Holding Companies-FRY-9C

Report at the close of business as of the last calendar day of the quarter

This	Report is required by law: Section 5(c) of the BHC Act	companies meeting certain criteria must file this report (FR Y-9C)
(12	U.S.C. § 1844(c)), section 10 of Home Owners' Loan Act	regardless of size. See	page 1 of the general instructions for fur-
(HOLA) (12 U.S.C. § 1467a(b)), section 618 of the Dodd-Frank Act	ther information. However, when such holding companies own or
(12	U.S.C. § 1850a(c)(1)), section 165 of the Dodd-Frank Act	control, or are owned or controlled by, other holding companies,
(12	U.S.C. § 5365), and section 252.153(b)(2) of Regulation YY	only the top-tier holding company must file this report for the con-
(12 CFR 252.153(b)(2)).	solidated holding company organization. The Federal Reserve
		may not conduct or sponsor, and an organization (or a person) is
This report form is to be filed by holding companies with total	not required to respond to, a collection of information unless it dis-
consolidated assets of $3 billion or more. In addition, holding	plays a currently valid OMB control number.


NOTE: Each holding company's board of directors and senior man-	Date of Report:	March 31, 2020
agement are responsible for establishing and maintaining an effec-			Month / Date / Year (BHCK 9999)

tive system of internal control, including controls over the Consolidated Financial Statements for Holding Companies. The Consolidated Financial Statements for Holding Companies is to be prepared in accordance with instructions provided by the Federal Reserve System. The Consolidated Financial Statements for Holding Companies must be signed and attested by the Chief Financial Officer (CFO) of the reporting holding company (or by the individual performing this equivalent function).

I, the undersigned CFO (or equivalent) of the named holding company, attest that the Consolidated Financial Statements for Holding Companies (including the supporting schedules) for this report date have been prepared in conformance with the instructions issued by the Federal Reserve System and are true and correct to the best of my knowledge and belief.

Printed Name of Chief Financial Officer (or Equivalent) (BHCK C490)

Signature of Chief Financial Officer (or Equivalent) (BHCK H321)

Date of Signature (MM/DD/YYYY) (BHTX J196)

The Bank of New York Mellon Corporation

Legal Title of Holding Company (RSSD 9017)

240 Greenwich Street /

(Mailing Address of the Holding Company) Street / P.O. Box (RSSD 9110)

New York	NY	10286
City (RSSD 9130)	State (RSSD 9200)	Zip Code (RSSD 9220)

For Federal Reserve Bank Use Only

RSSD ID _________________________________

C.I. ______________ S.F. ______________

Person to whom questions about this report should be directed:

Name / Title (BHTX 8901)

Area Code / Phone Number (BHTX 8902)

Area Code / FAX Number (BHTX 9116)

E-mail Address of Contact (BHTX 4086)

Holding companies must maintain in their files a manually signed and attested printout of the data submitted.

Public reporting burden for this information collection is estimated to vary from 5 to 1,250 hours per response, with an average of 46.34 hours per response for non-Advanced Approaches holding companies with $5 billion or more and an average of 40.48 hours per response for non-Advanced Approaches holding companies with less than $5 billion in total assets and 47.59 hours for Advanced Approaches holding companies, including time to gather and maintain data in the required form and to review instructions and complete the information collection. Comments regarding this burden estimate or any other aspect of this information collection, including suggestions for reducing the burden, may be sent to Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551, and to the Office of Management and Budget, Paperwork Reduction Project (7100-0128), Washington, DC 20503.

03/2020

The Bank of New York Mellon Corporation	For Federal Reserve Bank Use Only	FR Y-9C
Legal Title of Bank	RSSD ID _______________	Page 2 of 73
RSSD ID: 3587146	S.F. _________

Report of Income for Holding Companies

Report all Schedules of the Report of Income on a calendar year-to-date basis.

Schedule HI-Consolidated Income Statement

Dollar Amounts in Thousands		BHCK	Amount
1. Interest income
a. Interest and fee income on loans:
(1) In domestic offices:
(a) Loans secured by 1-4 family residential properties....................................................................	4435	74,000	1.a.(1)(a)
(b) All other loans secured by real estate........................................................................................		4436	38,000	1.a.(1)(b)
(c) All other loans............................................................................................................................	F821	209,000	1.a.(1)(c)
(2) In foreign offices, Edge and Agreement subsidiaries, and IBFs......................................................		4059	71,000	1.a.(2)
b. Income from lease financing receivables..............................................................................................	4065	2,000	1.b.
.............................................................c. Interest income on balances due from depository institutions1		4115	136,000	1.c.

Interest and dividend income on securities:
(1) U.S. Treasury securities and U.S. government agency obligations


		(excluding mortgage-backed securities)..........................................................................................	B488	125,000	1.d.(1)
	(2)				1.d.(2)
	Mortgage-backed securities............................................................................................................	B489	359,000
	(3)	All other securities..........................................................................................................................	4060	116,000	1.d.(3)
e.	Interest income from trading assets2....................................................................................................	4069	40,000	1.e.
f.	Interest income on federal funds sold and securities purchased under agreements
	to resell................................................................................................................................................	4020	396,000	1.f.
g.				1.g.
Other interest income...........................................................................................................................	4518	4,000
h.				1.h.
Total interest income (sum of items 1.a through 1.g)............................................................................	4107	1,570,000

2. Interest expense

a. Interest on deposits:

(1) In domestic offices:

	(a) Time deposits of $250,000 or less.............................................................................................	HK03	12,000		2.a.(1)(a)
	(b) Time deposits of more than $250,000........................................................................................	HK04	82,000		2.a.(1)(b)
					2.a.(1)(c)
	(c) Other deposits............................................................................................................................	6761	76,000
	(2) In foreign offices, Edge and Agreement subsidiaries, and IBFs......................................................	4172	70,000		2.a.(2)
b.	Expense on federal funds purchased and securities sold under agreements to
	repurchase...........................................................................................................................................	4180	275,000		2.b.
c.	Interest on trading liabilities and other borrowed money2
	(excluding subordinated notes and debentures)...................................................................................	4185	199,000		2.c.
d.	Interest on subordinated notes and debentures and on mandatory convertible
	............................................................................................................................................securities2	4397	12,000		2.d.
e.	Other interest expense.........................................................................................................................	4398	30,000		2.e.
f.					2.f.
Total interest expense (sum of items 2.a through 2.e)..........................................................................	4073	756,000

3. Net interest income (item 1.h minus item 2.f).............................................................................................	4074	814,000	3.
..........................................................................................................4. Provision for loan and lease losses3	JJ33	115,000		4.
5. Noninterest income:
a.	Income from fiduciary activities............................................................................................................	4070	2,477,000		5.a.
b.					5.b.
Service charges on deposit accounts in domestic offices.....................................................................	4483	118,000
c.	................................................................................................................................Trading revenue2,4	A220	319,000		5.c.

Includes interest income on time certificates of deposit not held for trading.
To be completed by holding companies with $5 billion or more in total assets (Asset-size test is based on the prior year June 30 report date). Income and or expenses pertaining to these items should be reported in the "other" categories 1.g, 2.e, and 5.l, respectively by holding companies with less than $5 billion in total assets.
Institutions that have adopted ASU 2016-13 should report in item 4, the provisions for credit losses for all financial assets that fall within the scope of the standard.
For holding companies required to complete Schedule HI, memoranda item 9, trading revenue reported in Schedule HI, item 5.c must equal the sum of memoranda items 9.a through 9.e.

12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 3 of 73
	RSSD ID: 3587146
	Schedule HI-Continued

					Dollar Amounts in Thousands	BHCK	Amount
		Holding companies with less than $5 billion in total assets should report data items
		5.d.(6) and 5.d.(7) only and leave 5.d.(1) through 5.d.(5) blank.
5.	d.	(1)	Fees and commissions from securities brokerage……................................................................………	C886	309,000	5.d.(1)

			(2)	Investment banking, advisory, and underwriting fees and commissions..............................................	C888	23,000	5.d.(2)

			(3)	Fees and commissions from annuity sales............................................................................................	C887	2,000	5.d.(3)

			(4)	Underwriting income from insurance and reinsurance activities...........................................................	C386	0	5.d.(4)
			(5)	Income from other insurance activities..................................................................................................	C387	0	5.d.(5)
			(6)	Fees and commissions from securities brokerage, investment banking, advisory,
				and underwriting fees and commissions…...........................................................................................	KX46		5.d.(6)
			(7)	Income from insurance activities5….......................................................................................................	KX47		5.d.(7)
		e.	Venture capital revenue6..............................................................................................................................	B491	(12,000)	5.e.
		f.	Net servicing fees........................................................................................................................................	B492	0	5.f.
		g.	Net securitization income6...........................................................................................................................	B493	0	5.g.
		h.	Not applicable
		i.	Net gains (losses) on sales of loans and leases.........................................................................................	8560	0	5.i.
		j.
		Net gains (losses) on sales of other real estate owned..............................................................................	8561	0	5.j.
		k.	...............................................................................................Net gains (losses) on sales of other assets7	B496	0	5.k.
		l.	Other noninterest income8...........................................................................................................................	B497	48,000	5.l.
		m.	Total noninterest income (sum of items 5.a through 5.l).............................................................................	4079	3,284,000	5.m.
6.	a.
Realized gains (losses) on held-to-maturity securities................................................................................	3521	0	6.a.
		b.
		Realized gains (losses) on available-for-sale securities.............................................................................	3196	9,000	6.b.
7.	Noninterest expense:
		a.	Salaries and employee benefits..................................................................................................................	4135	1,482,000	7.a.
		b.	Expenses of premises and fixed assets (net of rental income)
			(excluding salaries and employee benefits and mortgage interest)..........................................................	4217	236,000	7.b.
		c.	(1)	Goodwill impairment losses....................................................................................................................	C216	0	7.c.(1)

			(2)	Amortization expense and impairment losses for other intangible assets............................................	C232	26,000	7.c.(2)
		d.	.........................................................................................................................Other noninterest expense9	4092	1,021,000	7.d.
		e.	Total noninterest expense (sum of items 7.a through 7.d)..........................................................................	4093	2,765,000	7.e.

8. a. Income (loss) before unrealized holding gains (losses) on equity securities not held for trading, applicable income taxes, and discontinued


	operations (item 3 , 5.m, 6.a, 6.b, minus items 4 and 7.e)..........................................................................	HT69	1,227,000	8.a.
	b. Unrealized holding gains (losses) on equity securities not held for trading10………………………….……	HT70	0	8.b.
	c. Income (loss) before applicable income taxes and discontinued
	operations (sum of items 8.a and 8.b).........................................................................................................	4301	1,227,000	8.c.
9.
Applicable income taxes (foreign and domestic)..............................................................................................	4302	265,000	9.
10.
Income (loss) before discontinued operations (item 8.c. minus item 9)...........................................................	4300	962,000	10.
11.	..............................................................................Discontinued operations, net of applicable income taxes11	FT28	0	11.
12.	Net income (loss) attributable to holding company and noncontrolling
	(minority) interests (sum of items 10 and 11)....................................................................................................	G104	962,000	12.
13.	LESS: Net income (loss) attributable to noncontrolling (minority) interests
	(if net income, report as a positive value; if net loss, report as a negative value)...........................................	G103	(18,000)	13.
14.	Net income (loss) attributable to holding company (item 12 minus item 13)....................................................	4340	980,000	14.

Includes underwriting income from from insurance and reinsurance activities.
To be completed by holding companies with $5 billion or more in total assets (Asset-size test is based on the prior year June 30 report date). Income and or expenses pertaining to these items should be reported in the "other" categories.
Excludes net gains (losses) on sales of trading assets and held-to-maturity and available-for-sale securities.
See Schedule HI, memoranda item 6.
See Schedule HI, memoranda item 7.
Item 8.b is to be completed only by holding companies that have adopted ASU 2016-01, which includes provisions governing the accounting for investments in equity securities. See the instructions for further detail on ASU 2016-01.
Describe on Schedule HI, memoranda item 8.

12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 4 of 73
	RSSD ID: 3587146
	Schedule HI-Continued
	Memoranda
				Dollar Amounts in Thousands	BHCK	Amount
	Memo Items 1 and 2 are to be reported by holding companies with $5 billion or more
	in total assets. 1
	..........................................................1. Net interest income (item 3 above) on a fully taxable equivalent basis	4519	817,000	M.1.
	2. Net income before applicable income taxes, and discontinued operations (item 8.c. above)			M.2.
	.................................................................................................................on a fully taxable equivalent basis	4592	1,229,000
	3. Income on tax-exempt loans and leases to states and political subdivisions in the U.S.			M.3.
	......................................................................................(included in Schedule HI, items 1.a and 1.b, above)	4313	0
	4. Income on tax-exempt securities issued by states and political subdivisions in the U.S.			M.4.
	...............................................................................................(included in Schedule HI, item 1.d.(3), above)	4507	6,000
	5. Number of full-time equivalent employees at end of current period	BHCK	Number
	(round to nearest whole number)...................................................................................................................	4150	47,900	M.5.
	Memo Items 6.a through 6.j are to be completed annually on a calendar year-to-date basis
	in the December report only by holding companies with less than $5 billion in total assets. Holding
	companies $5 billion or more in total assets should report these items on a quarterly basis. 1
	6. Other noninterest income (from Schedule HI, item 5.l, above) (only report amounts greater
	than $100,000 that exceed 7 percent of Schedule HI, item 5.l):	BHCK	Amount
	............................................................................a. Income and fees from the printing and sale of checks	C013	0	M.6.a.
	.................................................b. Earnings on/increase in value of cash surrender value of life insurance	C014	36,000	M.6.b.
	c. Income and fees from automated teller machines (ATMs)......................................................................	C016	0	M.6.c.
	d. Rent and other income from other real estate owned..............................................................................	4042	0	M.6.d.

	e.	Safe deposit box rent..............................................................................................................................	C015	0	M.6.e.

	f. Bank card and credit card interchange fees............................................................................................	F555	0	M.6.f.

	g. Income and fees from wire transfers.......................................................................................................	T047	27,000	M.6.g
		TEXT
	h.	8562	Loan Commitment Fees	8562	30,000	M.6.h.
		TEXT
	i.	8563	Realized Investment Losses	8563	(34,000)	M.6.i.
		TEXT
	j.	8564			8564	0	M.6.j.
	Memo Items 7.a through 7.p are to be completed annually on a calendar year-to-date basis in the
	December report only by holding companies with less than $5 billion in total assets. Holding
	companies with $5 billion or more in total assets should report these items on a quarterly basis. 1

7. Other noninterest expense (from Schedule HI, item 7.d, above) (only report amounts greater than $100,000 that exceed 7 percent of the sum of Schedule HI, item 7.d):

a.
Data processing expenses......................................................................................................................	C017	0	M.7.a.
b.				M.7.b.
Advertising and marketing expenses......................................................................................................	0497	0
c.				M.7.c.
Directors' fees.........................................................................................................................................	4136	0
d.				M.7.d.
Printing, stationery, and supplies............................................................................................................	C018	0
e.				M.7.e.
Postage..................................................................................................................................................	8403	0
f.				M.7.f.
Legal fees and expenses........................................................................................................................	4141	0
g.	FDIC deposit insurance assessments....................................................................................................	4146		M.7.g.
h.	Accounting and auditing expenses.........................................................................................................	F556	0	M.7.h.
i.	Consulting and advisory expenses.........................................................................................................	F557	0	M.7.i.
j.	Automated teller machine (ATM) and interchange expenses..................................................................	F558	0	M.7.j.
k.				M.7.k.
Telecommunications expenses...............................................................................................................	F559	0
l.	Other real estate owned expenses.........................................................................................................	Y923	0	M.7.l.

1. . Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank					Page 5 of 73
RSSD ID: 3587146
	Schedule HI-Continued
	Memoranda-Continued
				Dollar Amounts in Thousands	BHCK	Amount
	7. m. Insurance expenses (not included in employee expenses, premises and fixed assets
		expenses, and other real estate owned expenses.)................................................................................	Y924	0	M.7.m.

		TEXT
	n.	8565	Software	8565	225,000	M.7.n.
		TEXT
	o.	8566	Purchased Services	8566	227,000	M.7.o.
		TEXT
	p.	8567	Distribution Clearing Subcustodian Charges	8567	196,000	M.7.p.
Memo items 8.a.(1) through Memo item 8.b.(2) is reported by holding companies with $5 billion or
	more in total assets. 1

8. Discontinued operations and applicable income tax effect (from Schedule HI, item 11) (itemize and describe each discontinued operation):

TEXT

a.	(1)	FT29				FT29	0	M.8.a.(1)
	(2)	Applicable income tax effect................................................................	BHCK	FT30	0		M.8.a.(2)

		TEXT
b.	(1)	FT31				FT31	0	M.8.b.(1)
	(2)	Applicable income tax effect................................................................	BHCK	FT32	0		M.8.b.(2)

9. Trading revenue (from cash instruments and derivative instruments) (Sum of items 9.a through 9.e must equal Schedule HI, item 5.c.)

Memorandum items 9.a through 9.e are to be completed by holding companies with $5 billion

or more in total assets 1 that reported total trading assets of $10 million or more for any
quarter of the preceding calendar year:
a.	Interest rate exposures...........................................................................................................................	8757	28,000	M.9.a.
b.				M.9.b.
Foreign exchange exposures..................................................................................................................	8758	253,000
			M.9.c.
c. Equity security and index exposures.......................................................................................................	8759	33,000
			M.9.d.
d. Commodity and other exposures............................................................................................................	8760	0
e.	Credit exposures....................................................................................................................................	F186	5,000	M.9.e.

Memoranda items 9.f and 9.g are to be completed by holding companies with $100 billion or more
in total assets that are required to complete Schedule HI, Memorandum items 9.a through 9.e,
above. 1
f. Impact on trading revenue of changes in the creditworthiness of the holding company's
derivatives counterparties on the holding company's derivative assets (included in
Memorandum items 9.a through 9.e above)...........................................................................................	K090	4,000 M.9.f.

Impact on trading revenue of changes in the creditworthiness of the holding company on the holding company's derivative liabilities (included in Memorandum items 9.a through 9.e.


above)……………………………………...................................................................................................	K094	0	M.9.g.
Memorandum items 10.a and 10.b are to be completed by holding companies with $10 billion or more
in total consolidated assets. 1
10. Net gains (losses) recognized in earnings on credit derivatives that economically hedge credit
exposures held outside the trading account:
a. Net gains (losses) on credit derivatives held for trading..........................................................................	C889	0	M.10.a.
			M.10.b.
b. Net gains (losses) on credit derivatives held for purposes other than trading..........................................	C890	0
Memorandum item 11 is to be completed by holding companies with $5 billion
or more in total assets. 1
11. Credit losses on derivatives (see instructions)...............................................................................................	A251	0	M.11.

1. The asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation					FR Y-9C
Legal Title of Bank				Page 6 of 73
	RSSD ID: 3587146
	Schedule HI-Continued
	Memoranda-Continued
		Dollar Amounts in Thousands	BHCK	Amount
	Memorandum items 12.a through 12.c are to be completed by holding companies with $5 billion
	or more in total assets. 1
	12. a. Income from the sale and servicing of mutual funds and annuities (in domestic offices)..............................		8431	230,000	M.12.a.
	b. (1) Premiums on insurance related to the extension of credit.........................................................................		C242	0	M.12.b.(1)
	(2) All other insurance premiums.....................................................................................................................		C243	0	M.12.b.(2)
	...................................................................c. Benefits, losses, and expenses from insurance-related activities		B983	0	M.12.c.

	13. Does the reporting holding company have a Subchapter S election in effect for	0=No	BHCK
	federal income tax purposes for the current tax year? (Enter "1" for Yes; enter "0" for No.)...................	1=Yes	A530	0	M.13.


		Dollar Amounts in Thousands	BHCK	Amount
	Memorandum items 14(a) through 14(b)(1) are to be completed by holding companies with
	$5 billion or more in total assets that have elected to account for assets and
	liabilities under a fair value option. 1
	14. Net gains (losses) recognized in earnings on assets and liabilities that are reported at
	fair value under a fair value option:
	a. Net gains (losses) on assets............................................................................................................................		F551	0	M.14.a.
	(1) Estimated net gains (losses) on loans attributable to changes in instrument-specific
	credit risk……………...................................................................................................................................	F552	0	M.14.a.(1)
	b. Net gains (losses) on liabilities.........................................................................................................................		F553	0	M.14.b.
	(1) Estimated net gains (losses) on liabilities attributable to changes in instrument-specific
	credit risk……………………………….........................................................................................................	F554	0	M.14.b.(1)
	Memorandum item 15 is to be completed by holding companies with $5 billion
	or more in total assets. 1
	15. Stock-based employee compensation expense (net of tax effects) calculated for all
	awards under the fair value method........................................................................................................................		C409	50,000	M.15.

Memorandum item 16 is to be completed by holding companies that are required to			Year-to-date
	complete Schedule HC-C, Memorandum items 6.b and 6.c and is to be completed		BHCK	Amount
	semiannually in the June and December reports only by holding companies with $5 billion
	or more in total assets and annually on a year-to- date basis in the December report by
	holding companies with less than $5 billion in total assets. 1
	16. Noncash income from negative amortization on closed-end loans secured by 1-4 family
	residential properties (included in Schedule HI, item 1.a.(1)(a)).............................................................................		F228	0	M.16.
	Memorandum item 17 is to be completed semiannually in June and December by Holding
	Companies with less than $5 billion in total assets. (Holding companies with more
	than $5 billion will continue to report quarterly). 1
	17. Other-than-temporary impairment losses on held-to-maturity and available-for-sale debt
	.........................................................securities recognized in earnings(included in Schedule HI,item 6a and 6b)2		J321		M.17

The asset-size test is based on the total assets reported as of prior year June 30 report date.
Memorandum item 17 is to be completed only by institutions that have not adopted ASU 2016-13.

12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 7 of 73
	RSSD ID: 3587146
	Schedule HI-A-Changes in Holding Company Equity Capital

			Dollar Amounts in Thousands	BHCK	Amount
1.	Total holding company equity capital most recently reported for the end of previous
		......................................................calendar year (i.e., after adjustments from amended Reports of Income)	3217	41,483,000	1.
2.	Cumulative effect of changes in accounting principles and corrections of material accounting errors			2.
B507	45,000
3.	...................................................Balance end of previous calendar year as restated (sum of items 1 and 2)	B508	41,528,000	3.
				BHCT
4.	..................................Net income (loss) attributable to holding company (must equal Schedule HI, item 14)	4340	980,000	4.
5.	Sale of perpetual preferred stock (excluding treasury stock transactions):	BHCK
		a. Sale of perpetual preferred stock, gross...................................................................................................	3577	0	5.a.
		b. Conversion or retirement of perpetual preferred stock..............................................................................	3578	0	5.b.
6.	Sale of common stock:
		a. Sale of common stock, gross...................................................................................................................			6.a.
		3579	134,000
		b. Conversion or retirement of common stock..............................................................................................	3580	0	6.b.
7.	Sale of treasury stock....................................................................................................................................	4782	0	7.
8.	LESS: Purchase of treasury stock.................................................................................................................	4783	985,000	8.
9.	Changes incident to business combinations, net...........................................................................................	4356	0	9.
10.	LESS: Cash dividends declared on preferred stock.......................................................................................	4598	36,000	10.
11.	LESS: Cash dividends declared on common stock........................................................................................	4460	282,000	11.
	Other comprehensive income1
12.	B511	(189,000)	12.
13.	Change in the offsetting debit to the liability for Employee Stock Ownership Plan (ESOP) debt
		guaranteed by the holding company..............................................................................................................			13.
		4591	0
14.	Other adjustments to equity capital (not included above)...............................................................................	3581	(5,000)	14.
15.	Total holding company equity capital end of current period (sum of items 3, 4, 5, 6, 7, 9, 12,	BHCT
		..............................................13, and 14, less items 8, 10, and 11) (must equal item 27.a on Schedule HC)	3210	41,145,000	15.

1. Includes, but is not limited to, changes in net unrealized holding gains (losses) on available-for-sale securities, changes in accumulated net gains (losses) on cash flow hedges, foreign currency translation adjustments, and pension and other postretirement plan related changes

other than net periodic benefit cost.

03/2013

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 8 of 73
RSSD ID: 3587146

Schedule HI-B-Charge-Offs and Recoveries on Loans and

Leases and Changes in Allowances for Credit Losses

Part I. Charge-offs and Recoveries on Loans and Leases (Fully Consolidated)

Part I includes charge-offs and recoveries through		(Column A)			(Column B)
the allocated transfer risk reserve.		Charge-offs1			Recoveries
	Dollar Amounts in Thousands	BHCK	Amount		BHCK	Amount
1. Loans secured by real estate:
a.	Construction, land development, and other land loans
	in domestic offices:
	(1) 1-4 family residential construction loans..................................................	C891		0	C892	0	1.a.(1)
	(2) Other construction loans and all land development and
	other land loans.......................................................................................	C893		0	C894	0	1.a.(2)
b.							1.b.
Secured by farmland in domestic offices.......................................................	3584		0	3585	0
c.	Secured by 1-4 family residential properties in domestic offices:
	(1) Revolving, open-end loans secured by 1-4 family residential
	properties and extended under lines of credit...........................................	5411		0	5412	0	1.c.(1)
	(2) Closed-end loans secured by 1- 4 family residential
	properties in domestic offices:
	(a) Secured by first liens..........................................................................	C234		0	C217	1,000	1.c.(2)(a)
							1.c.(2)(b)
	(b) Secured by junior liens.......................................................................	C235		0	C218	0
d.	Secured by multifamily (5 or more) residential properties in
	domestic offices................................................................................….........	3588		0	3589	0	1.d.
e.	Secured by nonfarm nonresidential properties in domestic offices:
	(1) Loans secured by owner-occupied nonfarm nonresidential
	properties.................................................................................................	C895		0	C896	0	1.e.(1)
	(2) Loans secured by other nonfarm nonresidential properties......................	C897		0	C898	0	1.e.(2)
f.	In foreign offices............................................................................................	B512		0	B513	0	1.f.
2. Not applicable
3. Loans to finance agricultural production and other loans to farmers....................	4655		0	4665	0	3.
Holding companies with less than $5 billion should report Item 4.c only
and leave 4.a and 4.b blank. 2
4. Commercial and industrial loans:
a. To U.S. addressees (domicile)......................................................................	4645		0	4617	0	4.a.
b. To non-U.S. addressees (domicile)...............................................................	4646		0	4618	0	4.b.
c	To U.S. addressees (domicile) and non-U.S. addressees (domicile)….....	KX48			KX49		4.c.

5. Loans to individuals for household, family, and other personal expenditures:

Other consumer loans (includes single payment, installment, all student loans, and revolving credit plans other than

	credit cards)..................................................................................................	K205	0	K206	0	5.c.
Item 6 is to be completed by holding companies with $5 billion or more in
total consolidated assets. 2
6.	Loans to foreign governments and official institutions.........................................	4643	0	4627	0	6.
7.
All other loans.....................................................................................................	4644	0	4628	0	7.


1.	Include write-downs arising from transfers of loans to a held-for-sale account.
2.	Asset-size test is based on the total assets reported as of prior year June 30 report date.	12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 9 of 73
RSSD ID: 3587146

Schedule HI-B-Continued

			(Column A)		(Column B)
Part I.-Continued			Charge-offs1		Recoveries
Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount

Holding companies with less than $5 billion in total assets should report data item Item 8.c and leave item 8.a and 8.b blank. 2

8.	Lease financing receivables:
	a. Leases to individuals for household, family, and other personal
	expenditures...............................................................................................................	F185	0	F187	0	8.a.

	b. All other leases...........................................................................................................	C880	0	F188	0	8.b.
	c. Leases to individuals for household, family, and other personal
	expenditures and all other leases…........................................................................	KX50		KX51		8.c.
9.	Total (sum of items 1 through 8)3......................................................................................	4635	0	4605	1,000	9.

Include write-downs arising from transfers of loans to a held-for-sale account.
Asset-sizetest is based on the total assets reported as of prior year June 30 report date.
For holding companies with less than $5 billion in total assets, Total loans and leases (sum of items 1 through 7 plus 8c.)

Memoranda

				(Column A)			(Column B)
				Charge-offs1			Recoveries
					Date
	Dollar Amounts in Thousands	BHCK	Amount		BHCK	Amount
1.	Loans to finance commercial real estate, construction, and land
	development activities (not secured by real estate) included in Schedule
	HI-B, part I, items 4 and 7 above................................................................................	5409		0	5410	0 M.1.
Memorandum item 2 is to be completed by holding companies with $5
billion	or more in total assets. 3

2. Loans secured by real estate to non-U.S. addressees (domicile) (included in


	Schedule HI-B, part I, item 1, above)..........................................................................	4652	0	4662		0	M.2.

Memorandum item 3 is to be completed by (1) holding companies with $5 billion or more in total assets 3	that, together with affiliated
institutions, have outstanding credit card receivables (as defined in the instructions) that exceed $500 million as of the report date or
(2) holding companies that on a consolidated basis are credit card specialty holding companies (as defined in the instructions).

					Year-to-date
3.	Uncollectible retail credit card fees and finance charges reversed against income			BHCK		Amount
	(i.e., not included in charge-offs against the allowance for loan and lease losses)2..............................................		C388		0	M.3.

Include write-downs arising from transfers of loans to a held-for-sale account.
Institutions that have adopted ASU 2016-13 should report in Memorandum item 3 uncollectable retail credit card fees and finance charges reversed against income (i.e., not included in charge-offs against the allowance for credit losses on loans and leases).
Asset-sizetest is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation									FR Y-9C
Legal Title of Bank								Page 10 of 73
	RSSD ID: 3587146
	Schedule HI-B-Continued
	Part II. Changes in Allowance for Credit Losses1
					(Column A)		(Column B)			(Column C)
				Loans and Leases	Held-to-maturity		Available-for-sale
				held for investment	debt securities2		debt securities2
			Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount		BHCK	Amount
1.	Balance most recently reported at end of previous year
		(i.e., after adjustments from amended Reports of Income).................................................................................	B522	122,000	JH88		0	JH94	0	1.
				BHCT
2.	Recoveries (column A must equal Part 1, item 9, column B, above)...................................................................	4605	1,000	JH89		0	JH95	0	2.
3.	LESS: Charge-offs (column A must equal Part 1, item 9, column A, above less	BHCK
		Schedule HI-B, Part II, item 4, column A)...........................................................................................................	C079	0	JH92		0	JH98	0	3.
4.	LESS: Write-downs arising from transfers of financial assets3......................................................................…..
5523	0	JJ00		0	JJ01	0	4.
				BHCK
5.	Provisions for credit losses4,5..............................................................................................…...........................	4230	87,000	JH90		0	JH96	8,000	5.
				BHCK
6.	Adjustments (see instructions for this schedule)................................................................................................	C233	(70,000)	JH91		0	JH97	7,000	6.
7.	Balance end of current period (sum of items 1, 2, 5, and 6, less items 3 and 4)	BHCT
		(column A must equal Schedule HC, item 4.c)...................................................................................................	3123	140,000	JH93		0	JH99	15,000	7.

Institutions that have not adopted ASU 2016-13 should report changes in allowance for loan and lease losses in column A.
Columns B and C are to be completed only by institutions that have adopted ASU 2016-13.
Institutions that have not adopted ASU 2016-13, should report write-downs arising from transfers of loans to a held-for-sale account in item 4, column A.
Institutions that have not yet adopted ASU 2016-13 should report the provision for loan and lease losses in item 5, column A and the amount reported must equal Schedule HI, item 4.
For institutions that have adopted ASU 2016-13, the sum of item 5, columns A through C, plus schedule HI-B, Part II, Memorandum item 5, below, must equal Schedule HI, item 4.

Memoranda


Memoranda Items 1, 2, 3 and 4 are to be completed by holding companies
with $5 billion or more in total assets. 1	Dollar Amounts in Thousands	BHCK	Amount
1.	Allocated transfer risk reserve included in Schedule HI-B, part II, item 7, column A, above................................		C435	0	M.1.
Memoranda items 2 and 3 are to be completed by (1) holding companies that, together with
affiliated institutions, have outstanding credit card receivables (as defined in the instructions) that
exceed $500 million as of the report date or (2) holding companies that on a consolidated basis are
credit card specialty holding companies (as defined in the instructions).
2.	Separate valuation allowance for uncollectible retail credit card fees and finance charges.................................		C389	0	M.2.
3.	Amount of allowance for loan and lease losses attributable to retail credit card fees and finance
	charges2............................................................................................................................................................		C390	0	M.3.

4. Amount of allowance for post-acquisition credit losses on purchased credit-impaired loans accounted for in accordance with AICPA Statement of Position 03-3

	(included in Schedule HI-B, part II, item 7, column A, above)3............................................................................	C781		M.4.
5.	Provisions for credit losses on other financial assets measured at amortized cost (not included in
	item 5, above)4…...............................................................................................................................................	JJ02	20,000	M.5.
6.	Allowance for credit losses on other financial assets measured at amortized cost (not included
	item 7, above)4..................................................................................................................................................	JJ03	26,000	M.6.

Asset-sizetest is based on the total assets reported as of prior year June 30 report date.
Institutions that have adopted ASU 2016-13 should report in Memorandum item 3 the amount of allowance for credit losses on loans and leases attributable to retail credit card fees and financial charges.
Memorandum item 4 is to be completed only by institutions that have not yet adopted ASU 2016-13.
Memorandum items 5 and 6 are to be completed only by institutions that have adopted ASU 2016-13.

12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 11 of 73

RSSD ID: 3587146

Schedule HI-C-Disaggregated Data on the Allowance for Loan and Lease Losses

Part I. Disaggregated data on the Allowance for Loan and Lease Losses to be completed by Holding Companies with $5 Billion or More in Total Assets. 1,2

(Column A)

(Column B)

(Column C)

(Column D)

(Column E)

(Column F)

Recorded Investment:

Allowance Balance:

Recorded Investment:

Allowance Balance:

Recorded Investment:

Allowance Balance:

Individually Evaluated

Collectively Evaluated

Purchased Credit-

for Impairment

Impaired Loans

(ASC 310-10-35)

(ASC 450-20)

(ASC 310-30)

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

Real estate loans:

a. Construction loans.....................

M708

M709

M710

M711

M712

M713

1.a.

b. Commercial

real estate loans........................

M714

M715

M716

M717

M719

M720

1.b.

c. Residential

real estate loans........................

M721

M722

M723

M724

M725

M726

1.c.

Commercial loans3 ........................

M727

M728

M729

M730

M731

M732

Credit cards...................................

M733

M734

M735

M736

M737

M738

Other consumer loans...................

M739

M740

M741

M742

M743

M744

Unallocated, if any.........................

M745

Total

(sum of items 1.a. through 5.)4......

M746

M747

M748

M749

M750

M751

Only institutions with total assets greater than $5 billion that have not adopted ASU 2016-13 are to complete Schedule HI-C, Part I.
The asset-size test is based on the total assets reported as of prior year June 30 report date
Include all loans and leases not reported as real estate loans, credit cards, or other consumer loans in items 1, 3, or 4 on Schedule HI-C, Part I.
The sum of item 6, columns B, D and F, must equal Schedule HC, item 4.c. Item 6, column E, must equal Schedule HC-C, Memorandum item 5.b. Item 6, column F, must equal Schedule HI-B, Part II, Memorandum item 4.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 12 of 73
RSSD ID: 3587146

Schedule HI-C-Continued

Part II. Disaggregated data on Allowances for Credit Losses1,2

			(Column A)		(Column B)
			Amortized Cost		Allowance Balance
	Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount
Loans and Leases, Held for Investment:1
1.	Real estate loans:
	a. Construction loans............................................................	JJ04	977,000	JJ12	47,000	1.a.
	b. Commercial real estate loans............................................	JJ05	3,548,000	JJ13	20,000	1.b.
	c. Residential real estate loans..............................................	JJ06	9,123,000	JJ14	21,000	1.c.
	Commercial loans3
2.	JJ07	45,416,000	JJ15	52,000	2.
3.	Credit cards...........................................................................	JJ08	0	JJ16	0	3.
4.	Other consumer loans...........................................................	JJ09	3,136,000	JJ17	0	4.
5.						5.
Unallocated, if any.................................................................			JJ18	0
	Total (sum of items 1.a. through 5)4
6.	JJ11	62,200,000	JJ19	140,000	6.

					Allowance Balance
		Dollar Amounts in Thousands	BHCK	Amount
Held-To-Maturity Securities:5
7.	................................................Securities issued by states and political subdivisions in the U.S		JJ20	0	7.
8.	Total Mortgage-backed securities (MBS) (including CMOs, REMICs and
	stripped MBS):			JJ21	0	8.
9.	Asset-backed securities and structured financial products.........................................................			JJ23	0	9.
10.	Other debt securities.................................................................................................................			JJ24	0	10.
11.	............................................................................................Total (Sum of items 7 through 10)6			JJ25	0	11.

Data items 1-6 are to be completed by holding companies that have adopted ASU 2016-13 and holding companies with less than $5 billion that have not adopted ASU 2016-13 (and chose not to report on HI-C Part I). Holding companies that have less than $5 billion in total assets and have not adopted ASU 2016-13 should report the recorded investment instead of the amortized cost in column A and report items 1-6 semiannually in June and December.
The asset size test is based on total assets reported as of prior year June 30 report date.
Include all loans and leases not reported as real estate loans, credit cards, or other consumer loans in items 1, 3 or 4 of Schedule HI-C, part II.
Items 6, column B, must equal Schedule HC, item 4.c.
Only institutions that have adopted ASU 2016-13 are to complete Schedule HI-C, Part II line items 7 through 11. Institutions with less than $5 billion in total assets should report items 7 through 11 semiannually in the June and December reports only.
Item 11 must equal Schedule HI-B, Part II, item 7, column B.

12/2019

The Bank of New York Mellon Corporation

Legal Title of Bank

RSSD ID: 3587146

Notes to the Income Statement-Predecessor Financial Items

For holding companies involved in a business combination(s) during the quarter, provide on the lines below income statement information for any acquired company(ies) with aggregated assets of $10 billion or more or 5 percent of the reporting holding company's total consolidated assets as of the previous quarter-end, whichever is less. Information should be reported year-to- date of acquisition.

FR Y-9C Page 13 of 73

		Dollar Amounts in Thousands	BHBC	Amount
1.	Total interest income..................................................................................................................................	4107	0	1.
	a.	Interest income on loans and leases.....................................................................................................	4094	0	1.a.
	b.	Interest income on investment securities..............................................................................................		0	1.b.
	4218
2.	.................................................................................................................................Total interest expense	4073	0	2.
	a.	Interest expense on deposits.................................................................................................................	4421	0	2.a.
3.	Net interest income		0	3.
4074
4.	Provision for loan and lease losses1
JJ33	0	4.
5.	............................................................................................................................Total noninterest income	4079	0	5.
	a.	Income from fiduciary activities.............................................................................................................	4070	0	5.a.
	b.	Trading revenue....................................................................................................................................	A220	0	5.b.
	c.	Investment banking, advisory, brokerage, and underwriting fees and commissions..............................	B490	0	5.c.
	d.	Venture capital revenue........................................................................................................................		0	5.d.
	B491
	e.	Net securization income........................................................................................................................	B493	0	5.e.
	f.
	Insurance commissions and fees..........................................................................................................	B494	0	5.f.
6.	Realized gains (losses) on held-to-maturity and available-for-sale securities2
4091	0	6.
7.	Total noninterest expense		0	7.
4093
	a.	Salaries and employee benefits............................................................................................................		0	7.a.
	4135
	b.	Goodwill impairment losses...................................................................................................................	C216	0	7.b.
8.	Income (loss) before applicable income taxes and discontinued operations		0	8.
4301
9.	.............................................................................................................................Applicable income taxes	4302	0	9.
10.	Noncontrolling (minority) interest		0	10.
4484
			BHCK
11.	..................Discontinued operations, net of applicable income taxes and noncontrolling (minority) interest	FT41	0	11.
			BHBC
12.	........................................................................................................................................Net income (loss)	4340	0	12.
13.	Cash dividends declared		0	13.
4475
14.	Net charge-offs		0	14.
6061
15.	Net interest income (item 3 above) on a fully taxable equivalent basis		0	15.
4519

Institutions that have adopted ASU 2016-13 should report in Item 4, the provisions for all financial assets that fall within the scope of the standard.
For institutions that have adopted ASU 2016-01, which includes provisions governing the accounting for investments in equity securities, include realized and unrealized gains (losses) (and all other value changes) on equity securities and other equity investments not held for trading in item 6.

03/2019

The Bank of New York Mellon Corporation

Legal Title of Bank

RSSD ID: 3587146

Notes to the Income Statement (Other)

Enter in the lines provided below any additional information on specific line items on the income statement or to its schedules that the holding company wishes to explain, that has been separately disclosed in the holding company's quarterly reports to its shareholders, in its press releases, or on its quarterly reports to the Securities and Exchange Commission (SEC). Exclude any

transactions that have been separately disclosed under the reporting requirements specified in memoranda items 6 through 8 to Schedule HI, the Consolidated Income Statement.

Also include any transactions which previously would have appeared as footnotes to Schedules HI through HI-B.

Each additional piece of information disclosed should include the appropriate reference to schedule and item number, as well as a description of the additional information and the dollar amount (in thousands of dollars) associated with that disclosure.

FR Y-9C Page 14 of 73

Example

A holding company has received $1.35 million of back interest on loans and leases that are currently in nonaccrual status. The holding company's interest income for the quarter shows that increase which has been disclosed in the report to the stockholders and

SEC. Enter on the line item below the following information:

TEXT		BHCK	Amount
0000	Sch. HI, item 1.a(1), Recognition of interest payments on
	nonaccrual loans to XYZ country
		0000	1350

Notes to the Income Statement (Other)

		Dollar Amounts in Thousands	BHCK	Amount
1.	Effect of adoption of Current Expected Credit Losses Methodology - ASU 2016-131,2............................................	JJ26	45,000	1
2.	Initial allowances for credit losses recognized upon the acquisition of purchased credit-deteriorated
	..............................................................................................assets on or after the effective date of ASU 2016-131	JJ27		2.
3.	Effect of adoption of current expected credit losses methodology on allowances for credit losses on
	...........................................................loans and leases held for investment and held-to-maturity debt securities1,2	JJ28	(70,000)	3.

	TEXT
4.	5351		5351	0	4.
5.	5352		5352	0	5.
6.	5353		5353	0	6.
7.	5354		5354	0	7.
8.	5355		5355	0	8.
9.	B042		B042	0	9.
10.	B043		B043	0	10.
11.	B044		B044	0	11.
12.	B045		B045	0	12.
13.	B046		B046	0	13.

Only institutions that have adopted ASU 2106-13 should report values in these items, if applicable.
Institutions should complete this item in the quarter that they adopt ASU 2016-13 and in the quarter-end FR Y-9C report for the remainder of that calendar year only.

03/2019

The Bank of New York Mellon Corporation			FR Y-9C
Legal Title of Bank			Page 15 of 73
RSSD ID: 3587146
Notes to the Income Statement (Other) - Continued

	TEXT	Dollar Amounts in Thousands	BHCK	Amount
14.	B047		B047	0	14.
15.	B048		B048	0	15.
16.	B049		B049	0	16.
17.	B050		B050	0	17.
18.	B051		B051	0	18.
19.	B052		B052	0	19.
20.	B053		B053	0	20.
21.	B054		B054	0	21.
22.	B055		B055	0	22.
23.	B056		B056	0	23.

03/2019

The Bank of New York Mellon Corporation

Name of Holding Company

Consolidated Financial Statements for Holding Companies

For Federal Reserve Bank Use Only

C.I. ___________

FR Y-9C Page 16 of 73

Report at the close of business	March 31, 2020
	Month / Day / Year

Schedule HC-Consolidated Balance Sheet

Dollar Amounts in Thousands

BHCK

Amount

Assets

1. Cash and balances due from depository institutions:

.............................................................................a. Noninterest-bearing balances and currency and coin1				0081	5,101,000	1.a.
b. Interest-bearing balances:2
(1)	In U.S. offices.....................................................................................................................................				0395	96,055,000	1.b.(1)
(2)	In foreign offices, Edge and Agreement subsidiaries, and IBFs.........................................................				0397	73,468,000	1.b.(2)
2. Securities:
..................................................................a. Held-to-maturity securities (from Schedule HC-B,column A)3				JJ34	37,057,000	2.a.
.................................................................b. Available-for-sale securities (from Schedule HC-B,column D)				1773	100,850,000	2.b.
c. Equity securities with readily determinable fair values not held for trading4…………………………………	JA22	1,087,000	2.c.
3. Federal funds sold and securities purchased under agreements to resell:
................................................................a. Federal funds sold in domestic offices		BHDM	B987	0	3.a.
............................................b. Securities purchased under agreements to resell5,6		BHCK	B989	27,363,000	3.b.
4. Loans and lease ﬁnancing receivables:
.................................................................................................................a. Loans and leases held for sale				5369	0	4.a.
b. Loans and leases, held for investment......................................…............	B528	62,200,000				4.b.
c. LESS: Allowance for loan and lease losses7..........................................…	3123	140,000				4.c.

Loans and leases, held for investment, net of allowance for loan and lease losses

	(item 4.b minus 4.c)..................................................................................................................................	B529	62,060,000	4.d.
5.	Trading assets (from Schedule HC-D)............................................................................................................	3545	12,046,000	5.
6.	Premises and ﬁxed assets (including capitalized leases)................................................................................	2145	3,514,000	6.
7.	Other real estate owned (from Schedule HC-M).............................................................................................	2150	1,000	7.
8.	Investments in unconsolidated subsidiaries and associated companies........................................................	2130	2,052,000	8.
9.	Direct and indirect investments in real estate ventures...................................................................................	3656	0	9.
10.
Intangible assets (from Schedule HC-M)……………………………………………………………………………	2143	20,310,000	10.

11.	Other assets (from Schedule HC-F)6...............................................................................................................	2160	27,191,000	11.
12.
Total assets (sum of items 1 through 11)........................................................................................................	2170	468,155,000	12.

Includes cash items in process of collection and unposted debits.
Includes time certificates of deposit not held for trading.
Institutions that have adopted ASU 2016-13 should report in item 2.a amounts net of any applicable allowance for credit losses, and item 2.a should equal Schedule HC-B, item 8, column A, less Schedule HI-B, Part II, item 7, column B.
Item 2.c is to be completed only by holding companies that have adopted ASU 2016-01, which includes provisions governing the accounting for investments in equity securities. See the instructions for further detail on ASU 2016-01.
Includes all securities resale agreements in domestic and foreign offices, regardless of maturity.
Institutions that have adopted ASU-2016-13 should report items 3.b and 11 amounts net of any applicable allowance for credit losses.
Institutions that have adopted ASU-2016-13 should report in item 4.c the allowance for credit losses on loans and leases.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 17 of 73
RSSD ID: 3587146

Schedule HC-Continued

		Dollar Amounts in Thousands	BHDM	Amount
Liabilities
13.	Deposits:
	a. In domestic offices (from Schedule HC-E):
	(1)	......................................................................................................................Noninterest-bearing1	6631	92,741,000		13.a.(1)
	(2)	Interest-bearing..............................................................................................................................	6636	118,466,000		13.a.(2)
	b. In foreign offices, Edge and Agreement subsidiaries, and IBFs:	BHFN
	(1)	Noninterest-bearing........................................................................................................................	6631	3,926,000		13.b.(1)
	(2)					13.b.(2)
	Interest-bearing..............................................................................................................................	6636	121,651,000
14.	Federal funds purchased and securities sold under agreements to repurchase:	BHDM
	.....................................................................................a. Federal funds purchased in domestic offices2	B993	524,000		14.a.
			BHCK
	...............................................................................b. Securities sold under agreements to repurchase3	B995	12,604,000		14.b.
15.	Trading liabilities (from Schedule HC-D)...................................................................................................	3548	6,625,000		15.
16.	Other borrowed money (includes mortgage indebtedness and obligations under
	capitalized leases) (from Schedule HC-M)................................................................................................	3190	37,253,000	16.

Not applicable
Not applicable


19.	a.	Subordinated notes and debentures4...................................................................................................	4062	1,394,000	19.a.
	b.	Subordinated notes payable to unconsolidated trusts issuing trust preferred securities, and
		trust preferred securities issued by consolidated special purpose entities...........................................	C699	0	19.b.
20.	Other liabilities (from Schedule HC-G)......................................................................................................	2750	31,592,000	20.
21.
Total liabilities (sum of items 13 through 20).............................................................................................	2948	426,776,000	21.

22 Not applicable

Equity Capital

Holding Company Equity Capital

23.
Perpetual preferred stock and related surplus...........................................................................................	3283	3,542,000	23.
24.
Common stock (par value)........................................................................................................................	3230	14,000	24.
25.
Surplus (exclude all surplus related to preferred stock).............................................................................	3240	27,644,000	25.
26.	a. Retained earnings...............................................................................................................................	3247	32,601,000	26.a.
	b. Accumulated other comprehensive income5........................................................................................	B530	(2,827,000)	26.b.
	c. Other equity capital components6........................................................................................................	A130	(19,829,000)	26.c.
27.	a. Total holding company equity capital (sum of items 23 through 26.c)..................................................	3210	41,145,000	27.a.
				27.b.
	b. Noncontrolling (minority) interests in consolidated subsidiaries...........................................................	3000	234,000
28.
Total equity capital (sum of items 27.a and 27.b)......................................................................................	G105	41,379,000	28.
29.
Total liabilities and equity capital (sum of items 21 and 28).......................................................................	3300	468,155,000	29.

Includes noninterest-bearing demand, time, and savings deposits.
Report overnight Federal Home Loan Bank advances in Schedule HC, item 16, "Other borrowed money."
Includes all securities repurchase agreements in domestic and foreign offices regardless of maturity.
Includes limited-life preferred stock and related surplus.
Includes, but is not limited to, net unrealized holding gains (losses) on available-for-sale securities, accumulated net gains (losses) on cash flow hedges, cumulative foreign currency translation adjustments, and accumulated defined benefit pension and other postretirement plan adjustments.
Includes treasury stock and unearned Employee Stock Ownership Plan shares.

03/2013

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 18 of 73
RSSD ID: 3587146

Schedule HC-Continued

Memoranda (to be completed annually by holding companies for the December 31 report date)

1. Has the holding company engaged in a full-scope independent external audit at any time during the	0=No	BHCK
calendar year? (Enter "1" for yes, enter "0" for no)..................................................................................................	1=Yes	C884	0	M.1.

2. If response to Memoranda item 1 is yes, indicate below the name and address of the holding company's independent external auditing firm (see instructions), and the name and e-mail address of the auditing firm's

engagement partner.7
a.				b.
(1)	Name of External Auditing Firm (TEXT C703)	(1)	Name of Engagement Partner (TEXT C704)


(2)	City (TEXT C708)	(2)	E-mail Address (TEXT C705)


(3)	State Abbrev. (TEXT C714)	(4) Zip Code (TEXT C715)
	03/2013
7. The	Federal Reserve regards information submitted in response to Memorandum item 2.b as confidential.

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 19 of 73
RSSD ID: 3587146

Schedule HC-B-Securities

			Held-to-Maturity		Available-for-Sale
			(Column A)		(Column B)		(Column C)		(Column D)
		Amortized Cost		Fair Value	Amortized Cost		Fair Value
	Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount	BHCK	Amount	BHCK	Amount
1. U.S. Treasury securities............................................................................	0211	2,937,000	0213	3,058,000	1286	21,430,000	1287	23,081,000	1.
2. U.S. government agency and sponsored agency obligations
(exclude mortgage-backed securities)1……………………………………	HT50	1,244,000	HT51	1,248,000	HT52	2,059,000	HT53	2,213,000	2.
. ............3. Securities issued by states and political subdivisions in the U.S	8496	16,000	8497	16,000	8498	967,000	8499	985,000	3.
Holding companies with less than $5 billion should report data
item Item 4.a.(4) and should leave 4.a.(1) through 4.a.(3) blank. 3
4. Mortgage-backed securities (MBS)
a. Residential pass-through securities:
(1)	Guaranteed by GNMA....................................................................	G300	2,907,000	G301	3,008,000	G302	1,561,000	G303	1,612,000	4.a.(1)
(2) Issued by FNMA and FHLMC........................................................	G304	24,155,000	G305	24,854,000	G306	12,373,000	G307	12,690,000	4.a.(2)
(3)	Other pass-through securities........................................................	G308	0	G309	0	G310	0	G311	0	4.a.(3)
(4) Guaranteed by GNMA, issued by FNMA and FHLMC
	and other pass-through securities…..........................................	KX52		KX53		KX54		KX55		4.a.(4)
b. Other residential mortgage-backed securities
(include CMOs, REMICs, and stripped MBS):
(1)	Issued or guaranteed by U.S. Government agencies or
	sponsored agencies2......................................................................	G312	2,456,000	G313	2,525,000	G314	12,515,000	G315	12,389,000	4.b.(1)
(2)	Collateralized by MBS issued or guaranteed by U.S.
	Government agencies or sponsored agencies2.............................	G316	0	G317	0	G318	0	G319	0	4.b.(2)
(3)	All other residential mortgage-backed securities...........................	G320	75,000	G321	73,000	G322	1,403,000	G323	1,475,000	4.b.(3)
c. Commercial MBS:
(1)	Commercial pass-through securities:
	(a) Issued or guaranteed by FNMA, FHLMC, or GNMA..............	K142	784,000	K143	835,000	K144	4,153,000	K145	4,408,000	4.c.(1)(a)
	(b) Other pass-through securities.................................................	K146	0	K147	0	K148	0	K149	0	4.c.(1)(b)
(2)	Other commercial MBS:
	(a) Issued or guaranteed by U.S. Government agencies
	or sponsored agencies2…………………………………………	K150	1,084,000	K151	1,117,000	K152	5,161,000	K153	5,397,000	4.c.(2)(a)
	(b) All other commercial MBS.......................................................	K154	0	K155	0	K156	2,501,000	K157	2,473,000	4.c.(2)(b)

1. Includes Small Business Administration "Guaranteed Loan Pool Certificates," U.S. Maritime Administration obligations, Export-Import Bank participation certificates, and obligations (other than mortgage-backed securities) issued by the Farm Credit System, the Federal Home Loan Bank System, the Federal Home Loan Mortgage Corporation, the Federal National Mortgage

Association, the Financing Corporation, Resolution Funding Corporation, the Student Loan Marketing Association, and the Tennessee Valley Authority.

2. U.S. Government agencies include, but are not limited to, such agencies as the Government National Mortgage Association (GNMA), the Federal Deposit Insurance Corporation (FDIC) and the National Credit Union Administration (NCUA). U.S. Government-sponsored agencies include, but are not limited to, such agencies as the Federal Home Loan Mortgage Corporation (FHLMC) and the Federal National Mortgage Association (FNMA).

3. Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 20 of 73
RSSD ID: 3587146

Schedule HC-B-Continued

				Held-to-Maturity			Available-for-Sale
				(Column A)		(Column B)		(Column C)		(Column D)
			Amortized Cost		Fair Value	Amortized Cost		Fair Value
		Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount	BHCK	Amount	BHCK	Amount
5.	Asset-backed securities and structured financial products:
	a.	.................................................Asset-backed Securities (ABS)	C026	0	C988	0	C989	2,257,000	C027	2,220,000	5.a.
	b.	Structured financial products………………………………………	HT58	0	HT59	0	HT60	4,341,000	HT61	4,098,000	5.b.
6.	Other debt securities:
	..................................................a. Other domestic debt securities	1737	403,000	1738	403,000	1739	2,279,000	1741	2,291,000	6.a.
	.....................................................b. Other foreign debt securities	1742	996,000	1743	1,033,000	1744	25,355,000	1746	25,518,000	6.b.
7.	Investments in mutual funds and other equity securities with
	.....................................................readily determinable fair values1					A510		A511		7.
			BHCK						BHCT
8.	.............................................................Total (sum of 1 through 7)2	1754	37,057,000	1771	38,170,000	1772	98,355,000	1773	100,850,000	8.

Memoranda

		Dollar Amounts in Thousands	BHCK	Amount
1.	Pledged securities3..........................................................................................................................................................................................................	0416	110,741,000	M.1.
2.	Remaining maturity or next repricing date of debt securities4, 5 (Schedule HC-B, items 1 through 6.b in columns A and D above):
	...........................................................................................................................................................................................................a. 1 year and less	0383	41,277,000	M.2.a.
	................................................................................................................................................................................................b. Over 1 year to 5 years	0384	31,136,000	M.2.b
	c.	Over 5 years...............................................................................................................................................................................................................	0387	65,494,000	M.2.c.
Memorandum item 3 is to be completed semiannually in the June and December reports only.
3.	Amortized cost of held-to-maturity securities sold or transferred to available-for-sale or trading securities during the calendar year-to-date
	.......................................................................................................................................................(report the amortized cost at date of sale or transfer)	1778	0	M.3.
4.	Structured notes (included in the held-to-maturity and available-for-sale accounts in Schedule HC-B, items 2, 3, 5, and 6):
	a.	Amortized cost............................................................................................................................................................................................................	8782	0	M.4.a.
	b.	Fair value....................................................................................................................................................................................................................	8783	0	M.4.b.

Item 7 is to be completed only by holding companies that have not adopted ASU 2016-01, which includes provisions governing the accounting for investments in equity securities. See the instructions for further detail on ASU 2016-01.
For institutions that have adopted ASU 2016-13, the total reported in column A must equal Schedule HC, item 2.a plus Schedue HI-B, Part II, item 7, column B. For institutions that have not adopted ASU 2016-13, the total reported in column A must equal Schedule HC, item 2.a. For all institutions, the total reported
in column D must equal Schedule HC, item 2.b.
Includes held-to-maturity securities at amortized cost and available-for-sale securities at fair value.
Exclude investments in mutual funds and other equity securities with readily determinable fair values.
Report fixed-rate debt securities by remaining maturity and floating-rate debt securities by next repricing date.

12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 21 of 73

RSSD ID: 3587146

Schedule HC-B-Continued

Memoranda-Continued

Held-to-Maturity

Available-for-Sale

(Column A)

(Column B)

(Column C)

(Column D)

Amortized Cost

Fair Value

Amortized Cost

Fair Value

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

Memorandum items 5.a through 5.f are to be completed by holding companies with $10 billion or more in total assets. 1

5. Asset-backed securities (ABS) (sum of Memorandum items 5.a through 5.f must equal Schedule HC-B, item 5.a):

a.	Credit card receivables............................................................................	B838	B839	B840	454,000	B841	447,000	M.5.a.
b.	Home equity lines....................................................................................	B842	B843	B844	0	B845	0	M.5.b.
c.	Automobile loans.....................................................................................	B846	B847	B848	508,000	B849	507,000	M.5.c.
d.	Other consumer loans.............................................................................	B850	B851	B852	735,000	B853	721,000	M.5.d.
e.	Commercial and industrial loans.............................................................	B854	B855	B856	487,000	B857	472,000	M.5.e.
f.	Other.......................................................................................................	B858	B859	B860	73,000	B861	73,000	M.5.f.

Memorandum items 6.a through 6.g are to be completed by holding companies with $10 billion or more in total assets. 1

6. Structured financial products by underlying collateral or reference assets (for each column, sum of Memorandum items 6.a through 6.g must equal Schedule HC-B, 5.b.):

a.	Trust preferred securities issued by financial institutions.........................		G348	0	G349	0	G350	0	G351	0	M.6.a.
b.	Trust preferred securities issued by real estate investment trusts...........		G352	0	G353	0	G354	0	G355	0	M.6.b.
c.	Corporate and similar loans.....................................................................		G356	0	G357	0	G358	4,341,000	G359	4,098,000	M.6.c.
d.	1-4 family residential MBS issued or guaranteed by U.S.
	government-sponsored enterprises (GSEs)............................................		G360	0	G361	0	G362	0	G363	0	M.6.d.
e. 1-4 family residential MBS not issued or guaranteed by GSEs...............	G364	0	G365	0	G366	0	G367	0	M.6.e.
f.	Diversified (mixed) pools of structured financial products........................		G368	0	G369	0	G370	0	G371	0	M.6.f.
g.	Other collateral or reference assets.........................................................		G372	0	G373	0	G374	0	G375	0	M.6.g.

1. The $10 billion asset-size test is based on the total assets reported as of prior year June 30 report date.

03/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 22 of 73
RSSD ID: 3587146

Schedule HC-C-Loans and Lease Financing Receivables

Do not deduct the allowance for loan and lease losses1 from amounts reported in this schedule. Report (1) loans and leases held for sale at the lower of cost or fair value, (2) loans and leases held for investment, net of unearned income, and (3) loans and leases accounted for at fair value under a fair value option. Exclude assets held for trading and commercial paper.

			(Column A)		(Column B)
		Consolidated	In Domestic Offices
	Dollar Amounts in Thousands	BHCK	Amount	BHDM	Amount
1. Loans secured by real estate......................................................................................	1410	13,648,000			1.
a. Construction, land development and other land loans:			BHCK
(1)	1-4 family residential construction loans........................................................			F158	129,000	1.a.(1)
(2)	Other construction loans and all land development and other
	land loans........................................................................................................		F159	977,000	1.a.(2)

				BHDM
b. Secured by farmland.............................................................................................			1420	0	1.b.
c. Secured by 1-4 family residential properties:
(1)	Revolving, open-end loans secured by 1-4 family residential
	properties and extended under lines of credit.…............................................			1797	41,000	1.c.(1)
(2)	Closed-end loans secured by 1-4 family residential properties:
	(a) Secured by first liens.......…......................................................................			5367	8,837,000	1.c.(2)(a)
	(b) Secured by junior liens..............................................................................		5368	116,000	1.c.(2)(b)
d. Secured by multifamily (5 or more) residential properties
	1460	1,150,000	1.d.
e. Secured by nonfarm nonresidential properties:

(1)	Loans secured by owner-occupied nonfarm nonresidential			BHCK
	properties........................................................................................................		F160	19,000	1.e.(1)
(2)	Loans secured by other nonfarm nonresidential properties............................		F161	2,379,000	1.e.(2)

				BHDM
2. Loans to depository institutions and acceptances of other banks...............................		1288	911,000	2.

a. To U.S. banks and other U.S. depository institutions............................................	1292	905,000			2.a.

b. To foreign banks....................................................................................................	1296	7,613,000			2.b.
3. Loans to ﬁnance agricultural production and other loans to farmers..........................	1590	17,000	1590	3,000	3.
Holding companies with less than $5 billion in total assets should
report data item 4.c and leave data items 4.a and 4.b blank. 2
4. Commercial and industrial loans.................................................................................		1766	1,470,000	4.

a. To U.S. addressees (domicile)..............................................................................	1763	3,157,000			4.a.

b. To non-U.S. addressees (domicile).......................................................................	1764	627,000			4.b.
c. To U.S. addressees (domicile) and non-U.S. addressees (domicile)	KX56				4.c.

Not applicable
Loans to individuals for household, family, and other personal

	expenditures (i.e., consumer loans) (includes purchased paper)...............................			1975	3,136,000	6.

	a. Credit cards...........................................................................................................	B538	0			6.a.

	b. Other revolving credit plans...................................................................................	B539	0			6.b.

	c. Automobile loans...................................................................................................	K137	0			6.c.
	d. Other consumer loans
	(includes single payment, installment, and all student loans)................................	K207	3,136,000			6.d.
7.	Loans to foreign governments and ofﬁcial institutions
	(including foreign central banks).................................................................................	2081	55,000	2081	47,000	7.
8.	Not applicable

1. Institutions that have adopted ASU 2016-13 should not deduct the allowance for credit losses on loans and leases or the allocated transfer risk reserve from amounts reported on this schedule.

2. Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation							FR Y-9C
Legal Title of Bank						Page 23 of 73
RSSD ID: 3587146
	Schedule HC-C-Continued

					(Column A)		(Column B)
				Consolidated	In Domestic Offices
		Dollar Amounts in Thousands	BHCK	Amount	BHDM	Amount
	Holding companies with less than $5 billion in total assets should
	report data item 9.b.(3) and leave data items 9.b.(1) and 9.b.(2) blank. 1
	9. Loans to nondepository financial institutions and other loans:
	a. Loans to nondepository financial institutions...........................................................	J454	3,302,000	J454	964,000		9.a.
	b.	Other loans
		(1) Loans for purchasing or carrying securities
		(secured or unsecured)...................................................................................	1545	18,314,000	1545	17,580,000		9.b.(1)
		(2) All other loans (exclude consumer loans).......................................................	J451	10,390,000	J451	8,823,000		9.b.(2)
		(3) Loans for purchasing or carrying securities (secured and
		unsecured) and all other loans…............................................................	KX57		KX57			9.b.(3)
	Holding companies with less than $5 billion in total assets should
	report data item 10.c. and should leave data items 10.a. and 10.b. blank. 1
	10. Lease ﬁnancing receivables (net of unearned income)................................................			2165	1,054,000	10.
	a. Leases to individuals for household, family, and other personal
		expenditures (i.e., consumer leases)......................................................................	F162	0				10.a.
	b.	All other leases........................................................................................................	F163	1,054,000				10.b.
	c.	Lease finance receivables….........................................................................	KX58					10.c.
	11. LESS: Any unearned income on loans reﬂected in items 1-9 above...........................	2123	18,000	2123	17,000	11.
	12. Total loans and leases held for investment and held for sale (sum of
	items 1 through 10 minus item 11)

	(total of column A must equal Schedule HC, sum of items 4.a and 4.b)......................	2122	62,200,000	2122	47,619,000	12.
	Memoranda
				Dollar Amounts in Thousands	BHDM	Amount
	HC-C memoranda items 1.a.(1) through 1.f.(3)(c) are to be completed semiannually in
	June and December by holding companies with less than $5 billion total assets. These items are to
	be completed quarterly by holding companies with $5 billion or more in total assets. 1

1. Loans restructured in troubled debt restructurings that are in compliance with their modified terms (included in Schedule HC-C, and not reported as past due or

nonaccrual in Schedule HC-N, Memorandum item 1):

Construction, land development, and other land loans in domestic offices:


	(1)	1-4 family residential construction loans..............................................................................................	K158	0	M.1.a.(1)
	(2)				M.1.a.(2)
	All other construction loans and all land development and other land loans........................................	K159	0
b.				M.1.b.
Loans secured by 1-4 family residential properties in domestic offices.....................................................	F576	32,000
c.	Secured by multifamily (5 or more) residential properties in domestic offices...........................................	K160	0	M.1.c.
d.	Secured by nonfarm nonresidential properties in domestic offices:
	(1)	Loans secured by owner-occupied nonfarm nonresidential properties................................................	K161	0	M.1.d.(1)
	(2)	Loans secured by other nonfarm nonresidential properties..................................................................	K162	0	M.1.d.(2)
			BHCK

Holding companies with less than $5 billion in total assets should report Memo item 1.e.(3) (semiannually in June and December), and should leave data item 1.e.(1) and 1.e.(2) blank. 1

Commercial and industrial loans:

(1)	To U.S. addressees (domicile)..................................................................	K163	0	M.1.e.(1)
(2)	To non-U.S. addressees (domicile)...........................................................	0	M.1.e.(2)

To U.S. addressees (domicile) and non-U.S addressees (domicile)…..... KX59 M.1.e.(3)

1. Asset-size test is based on the total assets reported as of prior year June 30 report date

12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 24 of 73
	RSSD ID: 3587146
	Schedule HC-C-Continued

	Memoranda-Continued		(Column B)
				In Domestic Offices
			Dollar Amounts in Thousands	BHDM	Amount
	f.	All other loans (include loans to individuals for household, family, and other personal
		expenditures)...............................................................................................................................................			M.1.f.
		K165	0
		Itemize and describe loan categories included in Memorandum item 1.f, above that exceed
		10 percent of total loans restructured in troubled debt restructurings that are in compliance
		with their modified terms (sum of Memorandum items 1.a through 1.f):	BHDM
		(1) Loans secured by farmland in domestic offices.....................................................................................			M.1.f.(1)
		K166	0
				BHCK
		......................................................(2) Loans to finance agricultural production and other loans to farmers	K168	0	M.1.f.(2)
		(3) Loans to individuals for household, family, and other personal expenditures:
		(a) Credit cards........................................................................................................................................			M.1.f.(3)(a)
		K098	0
		(b) Automobile loans...............................................................................................................................	K203	0	M.1.f.(3)(b)
		(c) Other consumer loans (includes single payment, installment, all student loans,
		and revolving credit plans other than credit cards)..............................................................................			M.1.f.(3)(c)
		K204	0
	g.	Total loans restructured in troubled debt restructurings that are in compliance with their
		modified terms (sum of Memorandum items 1.a.(1) through 1.f)	HK25	32,000	M.1.g
	2. Loans to ﬁnance commercial real estate, construction, and land development activities (not
	............................................secured by real estate) included in Schedule HC-C, items 4 and 9, column A, above	2746	1,863,000	M.2.
	To be completed by holding companies with $5 billion or more in total assets. 1
	3. Loans secured by real estate to non-U.S. addressees (domicile)
	........................................................................................................(included in Schedule HC-C, item 1, column A)	B837	0	M.3.
	Memorandum item 4 is to be completed by (1) holding companies with $5 billion or more in total
	assets 1	that, together with affiliated institutions, have outstanding credit card receivables (as defined
	in the instructions) that exceed $500 million as of the report date or (2) holding companies that on a
	consolidated basis are credit card specialty holding companies (as defined in the instructions).
	4. Outstanding credit card fees and finance charges
	.....................................................................................................(included in Schedule HC-C, item 6.a, column A)	C391	0	M.4.


1. Asset-size test is based on the total assets reported as of prior year June 30 report date	12/2019

	The Bank of New York Mellon Corporation			FR Y-9C
Legal Title of Bank		Page 25 of 73
	RSSD ID: 3587146
	Schedule HC-C-Continued
	Memoranda-Continued
			Dollar Amounts in Thousands	BHCK	Amount
	Memorandum item 5 is to be completed by all holding companies. Memorandum item 5.a and 5.b
	are to be completed semiannually in the June and December reports only. 1
	5. Purchased credit-impaired loans held for investment accounted for in accordance with
	FASB ASC 310-30 (former AICPA Statement of Position 03-3)(exclude loans held for sale):
	a.	Outstanding balance........................................................................................................................			M.5.a.
	C779
	b. Amount included in Schedule HC-C, items 1 through 9			M.5.b.
	C780
	Memorandum item 6.a, 6.b and 6.c are to be completed semiannually in the June and December
	reports only.
	6. Closed-end loans with negative amortization features secured by 1-4 family residential
	properties in domestic offices:
	a.	Total amount of closed-end loans with negative amortization features secured
		..............by 1-4 family residential properties (included in Schedule HC-C, items 1.c.(2)(a) and (b))	F230	0	M.6.a.
	Memorandum items 6.b and 6.c are to be completed by holding companies that had
	closed-end loans with negative amortization features secured by 1-4 family residential
	properties (as reported in Schedule HC-C, Memorandum item 6.a) as of December 31, 2018,
	that exceeded the lesser of $100 million or 5 percent of total loans and leases, held for
	investment and held for sale in domestic offices (as reported in Schedule HC-C, item 12,
	column B).
	6. b.	Total maximum remaining amount of negative amortization contractually permitted on
		closed-end loans secured by 1-4 family residential properties.........................................................	F231	0	M.6.b.

Total amount of negative amortization on closed-end loans secured by 1- 4 family residential properties included in the amount reported in Memorandum item


		6.a above.........................................................................................................................................	F232	0	M.6.c.
7. -8.	Not applicable.
9.	Loans secured by 1-4 family residential properties in domestic offices in process of	BHDM
	foreclosure (included in Schedule HC-C, items 1.c.(1), 1.c.(2)(a), and 1.c.(2)(b))......................................	F577	12,000	M.9.
10.	-11.	Not applicable.

1. Memorandum item 5 is to be completed only by holding companies that have not yet adopted ASU 2016-13.

03/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 26 of 73
RSSD ID: 3587146

Schedule HC-C-Continued

Memoranda-Continued

			(Column A)		(Column B)		(Column C)
		Fair value of acquired	Gross contractual	Best estimate at
		loans and leases at	amounts receivable at	acquisition date of con-
		acquisition date		acquisition	-tractual cash flows not
						expected to be collected
Dollar Amounts in Thousands	BHCK	Amount	BHCK	Amount	BHCK	Amount

Memorandum item 12.a, 12.b, 12.c and 12.d are to be completed semiannually in the June and December reports only, Holding companies with less than $5 billion in total assets should report Memorandum item 12.e semiannually in June and December and should leave 12.a, 12.b, 12.c, and 12.d blank. 1

12. Loans (not subject to the requirements of FASB ASC 310-30 (former AICPA Statement

of Position 03-3))2 and leases held for investment that are acquired in business combinations with

acquisition dates in the current calendar year:
a. Loans secured by real estate..............................................	G091	0	G092	0	G093	0	M.12.a.

b. Commercial and industrial loans.........................................	G094	0	G095	0	G096	0	M.12.b.
c.	Loans to individuals for household,
	family, and other personal expenditures.............................	G097	0	G098	0	G099	0	M.12.c.
d. All other loans and all leases..............................................	G100	0	G101	0	G102	0	M.12.d.
e.	Loans and leases..................................................	KX60		KX61		KX62		M.12.e.

				Dollar Amounts in Thousands	BHCK	Amount
13. Not applicable
14. Pledged loans and leases................................................................................................................................................				G378	12,919,000	M.14.

Asset-sizetest is based on the total assets reported as of prior year June 30 report date.
Institutions that have adopted ASU 2016-13 should report only loans held for investment not considered purchased credit-deteriorated in Memorandum item 12.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 27 of 73
RSSD ID: 3587146

Schedule HC-D-Trading Assets and Liabilities

Schedule HC-D is to be completed by holding companies with $5 billion or more in total assets 1 that reported total trading assets of $10 million or more in any of the four preceding calendar quarters.

	Dollar Amounts in Thousands	BHCM	Amount
Assets
1.	U.S. Treasury securities.............................................................................................................................	3531	1,814,000	1.
2.	U.S. government agency obligations (exclude mortgage-backed securities)...............................................	3532	456,000	2.
3.
Securities issued by states and political subdivisions in the U.S. ...............................................................	3533	180,000	3.
4.	Mortgage-backed securities (MBS):	BHCK
	a. Residential pass-through securities issued or guaranteed by FNMA, FHLMC, or GNMA......................	G379	2,191,000	4.a.
	b. Other residential mortgage-backed securities issued or guaranteed by U.S. Government
	agencies or sponsored agencies2 (include CMOs, REMICs, and stripped MBS)..................................	G380	0	4.b
	c. All other residential mortgage-backed securities...................................................................................	G381	0	4.c.
	d. Commercial MBS issued or guaranteed by U.S. Government agencies or
	sponsored agencies2.............................................................................................................................	K197	0	4.d.
	e. All other commercial MBS.....................................................................................................................	K198	0	4.e.
5.	Other debt securities
	a. Structured financial products…………………………………………………………………………….	HT62	0	5.a.
	b. All other debt securities.........................................................................................................................	G386	333,000	5.b.

6. Loans:

a. Loans secured by real estate:

	(1)
	Loans secured by 1-4 family residential properties..........................................................................	HT63	0	6.a.(1)
	(2)				6.a.(2)
	All other loans secured by real estate…………………………...…………………………………………	HT64	0
	b. Commercial and industrial loans...........................................................................................................	F614	0	6.b.
	c. Loans to individuals for household, family, and other personal
	expenditures (i.e., consumer loans) (includes purchased paper)………………………………………...…	HT65	0	6.c.
	d. Other loans...........................................................................................................................................	F618	0	6.d.
7.-8. Not applicable	BHCM
9.	...................................................................................................................................Other trading assets	3541	1,376,000	9.
10.	Not applicable
11.	...........................................................................................................Derivatives with a positive fair value	3543	5,696,000	11.
12.	Total trading assets (sum of items 1 through 11)	BHCT
	...................................................................................(total of column A must equal Schedule HC, item 5)	3545	12,046,000	12.
Liabilities

13.	a. Liability for short positions:	BHCK
	(1)	Equity securities...............................................................................................................................	G209	64,000	13.a.(1)
	(2)	Debt securities.................................................................................................................................	G210	1,243,000	13.a.(2)
	(3)	All other assets................................................................................................................................	G211	0	13.a.(3)
	b. All other trading liabilities			13.b.
	F624	0
14.	Derivatives with a negative fair value			14.
3547	5,318,000
15.	Total trading liabilities (sum of items 13.a through 14)
BHCT
	.................................................................................(total of column A must equal Schedule HC, item 15)	3548	6,625,000	15.

Asset-sizetest is based on the total assets reported as of prior year June 30 report date.
U.S. Government agencies include, but are not limited to, such agencies as the Government National Mortgage Association (GNMA),

the Federal Deposit Insurance Corporation (FDIC), and the National Credit Union Administration (NCUA). U.S. Government-spon-
sored agencies include, but are not limited to, such agencies as the Federal Home Loan Mortgage Corporation (FHLMC) and the
Federal National Mortgage Association (FNMA).	12/2019

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 28 of 73
	RSSD ID: 3587146
	Schedule HC-D-Continued
	Memoranda
		Dollar Amounts in Thousands	BHCK	Amount
	1. Unpaid principal balance of loans measured at fair value (reported in Schedule HC-D,
	items 6.a.1 through 6.d.):
	a. Loans secured by real estate:
	..........................................................................(1) Loans secured by 1-4 family residential properties	HT66	0	M.1.a.(1)
	(2) All other loans secured by real estate………………………………………………………………………			M.1.a.(2)
	HT67	0
	b. Commercial and industrial loans...........................................................................................................	F632	0	M.1.b.
	c. Loans to individuals for household, family, and other personal
	expenditures (i.e., consumer loans) (includes purchased paper)…………………………	HT68	0	M.1.c.
	d. Other loans...........................................................................................................................................	F636	0	M.1.d.

Memorandum items 2 through 10 are to be completed by holding companies with $10 billion or more in total trading assets. 1

2. Loans measured at fair value that are past due 90 days or more:

a.	Fair value.........................................................................................................................................	F639	M.2.a.
b.	Unpaid principal balance.......................................................................................................................	F640	M.2.b.

3. Structured financial products by underlying collateral or reference assets (for each column, sum of Memorandum items 3.a through 3.g must equal Schedule HC-D, sum of items 5.a):

	a.	Trust preferred securities issued by financial institutions.......................................................................	G299		M.3.a.
	b.	.........................................................Trust preferred securities issued by real estate investment trusts	G332		M.3.b.
	c.	Corporate and similar loans...................................................................................................................	G333		M.3.c.
	d.	1-4 family residential MBS issued or guaranteed by U.S.
		government-sponsored enterprises (GSEs)..........................................................................................	G334		M.3.d.
	.............................................................e. 1-4 family residential MBS not issued or guaranteed by GSEs	G335		M.3.e.
	f.	Diversified (mixed) pools of structured financial products......................................................................	G651		M.3.f.
	g.	Other collateral or reference assets.......................................................................................................	G652		M.3.g.
4.	Pledged trading assets:
	a.	Pledged securities.................................................................................................................................	G387		M.4.a.
	.......................................................................................................................................b. Pledged loans	G388		M.4.b.
5.	Asset-backed securities:
	a.	Credit card receivables..........................................................................................................................	F643		M.5.a.
	b.	Home equity lines..................................................................................................................................	F644		M.5.b.
	c.	Automobile loans...................................................................................................................................	F645		M.5.c.
	d.	Other consumer loans...........................................................................................................................	F646		M.5.d.
	e.	Commercial and industrial loans...........................................................................................................	F647		M.5.e.
	f.	Other.....................................................................................................................................................	F648		M.5.f.
6.	Not applicable.
7.	Equity securities:
	a.	Readily determinable fair values............................................................................................................	F652	0	M.7.a.
	.....................................................................................................................................................b. Other	F653		M.7.b.
8.	.............................................................................................Loans pending securitization	:.........................	F654		M.8.

1. The $10 billion trading asset-size test is based on total trading assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 29 of 73
RSSD ID: 3587146

Schedule HC-D-Continued

Memoranda - Continued

				Amount
	Dollar Amounts in Thousands	BHCK	Amount
9. a. (1)	Gross fair value of commodity contracts.........................................................................................	G212		M.9.a.(1)
(2)	Gross fair value of physical commodities held in inventory.............................................................		G213		M.9.a.(2)

Other trading assets (itemize and describe amounts included in Schedule HC-D, item 9, column A (other than amounts included in Memoranda items 9.a.(1) and 9.a.(2) above) that are greater than $1,000,000 and exceed 25 percent of item 9 less Memoranda items 9.a.(1) and 9.a.(2)):2

(1)	BHTXF655	F655	M.9.b.(1)
(2)	BHTXF656	F656	M.9.b.(2)
(3)	BHTXF657	F657	M.9.b.(3)

10. Other trading liabilities (itemize and describe amounts included in Schedule HC-D, item 13.b that are greater than $1,000,000 and exceed 25 percent of the item)

a.	BHTX	F658	0	M.10.a.
F658
b.	BHTX	F659	0	M.10.b.
F659
c.	BHTX	F660	0	M.10.c.
F660

2. Exclude Equity Securities

Schedule HC-E-Deposit Liabilities1

	Dollar Amounts in Thousands	BHCB	Amount
1. Deposits held in domestic offices of commercial bank subsidiaries of the reporting
holding company:
a.	.............................................................................................................Noninterest-bearing balances2	2210	81,545,000	1.a.
..................................b. Interest-bearing demand deposits, NOW, ATS, and other transaction accounts	3187	59,535,000	1.b.
c. Money market deposit accounts and other savings accounts			1.c.
2389	22,732,000
d. Time deposits of $250,000 or less			1.d.
HK29	2,771,000
e.	Time deposits of more than $250,000 ................................................................................................	J474	44,624,000	1.e.
2. Deposits held in domestic offices of other depository institutions that are subsidiaries of the
reporting holding company:	BHOD
a.	.............................................................................................................Noninterest-bearing balances2	3189	0	2.a.
..................................b. Interest-bearing demand deposits, NOW, ATS, and other transaction accounts	3187	0	2.b.
c. Money market deposit accounts and other savings accounts		0	2.c.
2389
d. Time deposits of $250,000 or less		0	2.d.
HK29
e.	Time deposits of more than $250,000 ................................................................................................	J474	0	2.e.

Memoranda

	Dollar Amounts in Thousands	BHDM	Amount
1.	Brokered deposits $250,000 or less with a remaining maturity of one year or less.....................................	HK06	8,105,000	M.1.
2.	Brokered deposits $250,000 or less with a remaining maturity of more than one year...............................			M.2.
HK31	7,000
3.	Time deposits of more than $250,000 with a remaining maturity of one year or less..................................	HK32	44,622,000	M.3.

		BHFN
4.	Foreign office time deposits with a remaining maturity of one year or less.................................................			M.4.
A245	706,000

The sum of items 1.a through 1.e and items 2.a through 2.e must equal the sum of Schedule HC, items 13.a.(1) and 13.a.(2).
Includes noninterest-bearing demand, time, and savings deposits.

06/2018

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 30 of 73
RSSD ID: 3587146

Schedule HC-F-Other Assets1

	Dollar Amounts in Thousands	BHCK	Amount
1.	Accrued interest receivable2................................................................................................................................	B556	576,000	1.
2.	Net deferred tax assets3
2148	5,000	2.
3.	Interest-only strips receivable (not in the form of a security)4………………………………………………………	HT80	0	3.
4.	.............................................................................Equity investments without readily determinable fair values5	1752	1,540,000	4.
5.	Life insurance assets:
	a. General account life insurance assets...........................................................................................................
	K201	2,044,000	5.a.
	b. Separate account life insurance assets.........................................................................................................	K202	1,927,000	5.b.
	c. Hybrid account life insurance assets.............................................................................................................	K270	1,270,000	5.c.
6.
Other.....................................................................................................................................................................	2168	19,829,000	6.
		BHCT
7.	Total (sum of items 1 through 6) (must equal Schedule HC, item 11)...............................................................	2160	27,191,000	7.

Institutions that have adopted ASU 2016-13 should report asset amounts in Schedule HC-F net of any applicable allowance for credit losses.
Include accrued interest receivable on loans, leases, debt securities, and other interest-bearing assets. Exclude accrued interest receivables on interest-bearing assets that are reported elsewhere on the balance sheet.
See discussion of deferred income taxes in Glossary entry on "income taxes."
Report interest-only strips receivable in the form of a security as available-for-sale securities in Schedule HC, item 2.b, or as trading assets in Schedule HC, item 5, as appropriate.
Include Federal Reserve stock, Federal Home Loan Bank stock, and bankers' bank stock.

Schedule HC-G-Other Liabilities

	Dollar Amounts in Thousands	BHCK	Amount
1.	Not applicable
2.	...................................................................................................................................Net deferred tax liabilities1	3049	2,432,000	2.
	Allowance for credit losses on off-balance sheet credit exposures2
3.	B557	148,000	3.
4.	Other.....................................................................................................................................................................	B984	29,012,000	4.
		BHCT
5.	Total (sum for items 2 through 4) (must equal Schedule HC, item 20)..............................................................	2750	31,592,000	5.

See discussion of deferred income taxes in Glossary entry on "income taxes."
Holding companies that have adopted ASU 2016-13 should report in Schedule HC-G, item 3, the allowance for credit losses on those

off-balance sheet credit exposures that fall within the scope of the standard.

Schedule HC-H-Interest Sensitivity1

	Dollar Amounts in Thousands	BHCK	Amount
1.	Earning assets that are repriceable within one year or mature within one year.................................................	3197	296,356,000	1.
2.	Interest-bearing deposit liabilities that reprice within one year or mature within one year included in
	item 13.a.(2) and 13.b.(2) on Schedule HC, Balance Sheet...............................................................................	3296	240,108,000	2.
3.	Long-term debt that reprices within one year included in items 16 and 19.a on Schedule HC,
	Balance Sheet......................................................................................................................................................	3298	2,300,000	3.

4.	Variable-rate preferred stock (includes both limited-life and perpetual preferred stock)...................................	3408	0	4.
5.	Long-term debt reported in Schedule HC, item 19.a on the Balance Sheet that is scheduled to
	mature within one year.........................................................................................................................................	3409	0	5.

1. Holding companies with foreign ofﬁces have the option of excluding the smallest of such non-U.S. ofﬁces from coverage in this schedule. Such holding companies may omit the smallest of their ofﬁces in foreign countries when arrayed by total assets provided that the assets of the

excluded ofﬁces do not exceed 50 percent of the total assets of the holding company's assets in foreign countries and 10 percent of the holding
company's total consolidated assets as of the report date.	12/2019

The Bank of New York Mellon Corporation

Legal Title of Bank

RSSD ID: 3587146

Schedule HC-I-Insurance-Related Underwriting Activities (Including Reinsurance)

Schedule HC-I must be completed by all top-tier holding companies. (See instructions for additional information.)

I. Property and Casualty Underwriting

Item 1 is to be completed by holding companies with $10,000,000 or more in reinsurance recoverables as of the effective date Each quarter.

FR Y-9C Page 31 of 73

	Dollar Amounts in Thousands	BHCK	Amount
Assets
1.	Reinsurance recoverables.....................................................................................................................	B988		1.
2.	Total assets...........................................................................................................................................	C244	114,000	2.
Liabilities
3.	Claims and claims adjustment expense reserves...................................................................................			3.
B990	3,000
4.	Unearned premiums..............................................................................................................................			4.
B991	2,000
5.	Total equity............................................................................................................................................			5.
C245	109,000
6.	Net income............................................................................................................................................			6.
C246	1,000

II. Life and Health Underwriting

Item 1 is to be completed by holding companies with $10,000,000 or more in reinsurance recoverables as of the effective date Each quarter.

	Dollar Amounts in Thousands	BHCK	Amount
Assets
1.	Reinsurance recoverables.....................................................................................................................	C247		1.
2.	Separate account assets.......................................................................................................................	B992	0	2.
3.	Total assets...........................................................................................................................................	C248	0	3.
Liabilities
4.	Policyholder beneﬁts and contractholder funds......................................................................................			4.
B994	0
5.	Separate account liabilities....................................................................................................................			5.
B996	0
6.	Total equity............................................................................................................................................			6.
C249	0
7.	Net income............................................................................................................................................			7.
C250	0

09/2016

	The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 32 of 73
RSSD ID: 3587146
	Schedule HC-K-Quarterly Averages

				Dollar Amounts in Thousands	BHCK	Amount
	Assets
1.	Securities:
		a. U.S. Treasury securities and U.S. government agency obligations
			..................................................................................................(excluding mortgage-backed securities1)	B558	25,249,000	1.a.
		b.	Mortgage-backed securities1
		B559	69,116,000	1.b.
		c. All other debt securities1 and equity securities with readily determinable fair values not held
			for trading2…............................................................................................................................................	B560	34,343,000	1.c.
2.	......................................................Federal funds sold and securities purchased under agreements to resell	3365	34,109,000	2.
					BHDM
3.	...............................................................................................a. Total loans and leases in domestic offices	3516	44,512,000	3.a.
			(1) Loans secured by 1-4 family residential properties.............................................................................	3465	9,046,000	3.a.(1)
			(2) All other loans secured by real estate.................................................................................................	3466	4,504,000	3.a.(2)
			(3) Loans to finance agricultural production and other loans to farmers			3.a.(3)
			3386	3,000
			(4) Commercial and industrial loans.........................................................................................................	3387	578,000	3.a.(4)
			(5) Loans to individuals for household, family, and other personal expenditures:
			(a) Credits cards..................................................................................................................................			3.a.(5)(a)
			B561	0
			(b) Other (includes single payment, installment other than auto loans, all student loans,

			and revolving credit plans other than credit cards)..........................................................................			3.a.(5)(b)
			B562	3,147,000
					BHFN
		b.	............................Total loans and leases in foreign offices, Edge and agreement subsidiaries, and IBFs	3360	11,170,000	3.b.
					BHCK
Item 4(a) is to be completed by holding companies with $5 billion or more in total assets
	and total trading assets of $10 million or more in any of the four preceding calendar quarters. 3
4.	a.	Trading assets..........................................................................................................................................	3401	13,305,000	4.a.
		b.	Other earning assets................................................................................................................................	B985	97,827,000	4.b.
	Total consolidated assets4
5.	3368	383,372,000	5.
	Liabilities
6.	.............................................................................................................Interest-bearing deposits (domestic)5	3517	99,915,000	6.
7.	Interest-bearing deposits (foreign)5
3404	97,717,000	7.
8.	Federal funds purchased and securities sold under agreements to repurchase			8.
3353	13,919,000
9.	All other borrowed money			9.
2635	37,390,000
10.	Not applicable
	Equity Capital
11.	..............................................................................Total equity capital (excludes limited-life preferred stock)	3519	41,206,000	11.

Quarterly averages for all debt securities should be based on amortized cost.
For holding companies that have adopted ASU 2016-01, which includes provisions governing the accounting for investments in equity securities, quarterly averages for equity securities with readily determinable fair values should be based on fair value. For holding companies that have not adopted ASU 2016-01, quarterly averages for equity securities with readily deter- minable fair values should be based on historical cost.
Asset-sizetest is based on the total assets reported as of prior year June 30 report date.
The quarterly average for total assets should reflect securities not held for trading as follows:
1. Debt securities at amortized costs.
2. For holding companies that have adopted ASU 2016-01, equity securities with readily determinable fair values should be reported at fair value. For holding companies that have not adopted ASU 2016-01, equity securities with readily determinable fair values should be reported at the lower of cost of fair value.
3. For holding companies that have adopted ASU 2016-01, equity investments without readily determinable fair values should be reported at their balance sheet carrying values (i.e., fair value or, if elected, cost minus impairment, if any, plus or minus changes resulting from observable price changes). For holding companies that have not adopted ASU 2016-01, equity investments without readily determinable fair values should be reported at historical cost.

5. Includes interest-bearing demand deposits.

12/2019

The Bank of New York Mellon Corporation	For Federal Reserve Bank Use Only	FR Y-9C
Legal Title of Bank	C.I. _________	Page 33 of 73
RSSD ID: 3587146

Schedule HC-L-Derivatives and Off-Balance-Sheet Items

Report only transactions with nonrelated institutions

			Dollar Amounts in Thousands		BHCK	Amount
1. Unused commitments (report only the unused portions of commitments that are fee paid or
otherwise legally binding):
a.	Revolving, open-end loans secured by 1-4 family residential properties, (e.g., home equity lines)..................		3814	72,000	1.a.
1.b(1) and 1.b(2) are to be completed by holding companies with $5 billion or more in total
assets 1 semiannually in the June and December reports only.
b.	(1)	Unused consumer credit card lines..............................................................................................................				J455	0	1.b.(1)
	(2)	Other unused credit card lines.....................................................................................................................				J456	0	1.b.(2)
c.	(1)	Commitments to fund commercial real estate, construction, and land development loans
	secured by real estate (sum of items 1.c.(1)(a) and (b) must equal item 1.c.(1))..............................................				3816	1,319,000	1.c.(1)

		(a) 1-4 family residential construction loan commitments............................	F164		46,000				1.c.(1)(a)
		(b) Commercial real estate, other construction loan, and land
		development loan commitments.............................................................	F165		1,273,000				1.c.(1)(b)

	(2)	Commitments to fund commercial real estate, construction, and land development loans
		NOT secured by real estate.........................................................................................................................				6550	2,000	1.c.(2)
Item 1(d) is to be completed by holding companies with $5 billion or more in total assets. 1
d.	Securities underwriting.......................................................................................................................................				3817	0	1.d.
e. Other unused commitments:
	(1)	Commercial and industrial loans..................................................................................................................				J457	8,886,000	1.e.(1)
	(2)	Loans to financial institutions.......................................................................................................................				J458	6,483,000	1.e.(2)
	(3)	All other unused commitments....................................................................................................................				J459	60,702,000	1.e.(3)
2. Financial standby letters of credit and foreign ofﬁce guarantees.............................................................................				6566	2,412,000	2.
Item 2.a is to be completed by holding companies with $5 billion or more in total assets. 1
a. Amount of ﬁnancial standby letters of credit conveyed to others.......................................................................				3820	143,000	2.a.
3. Performance standby letters of credit and foreign ofﬁce guarantees......................................................................				6570	62,000	3.
Item 3.a is to be completed by holding companies with $5 billion or more in total assets. 1
a.	Amount of performance standby letters of credit conveyed to others................................................................				3822	3,000	3.a.
4. Commercial and similar letters of credit..................................................................................................................				3411	113,000	4.

Not applicable
Securities

a.	Securities lent				3433	481,165,000	6.a.
b.	Securities borrowed				3432	9,341,000	6.b.
Items 7.a. through 7.d.(2)(b) are to be reported by holding companies with $5 billion or more in total assets. 1
				(Column A)			(Column B)
7. Credit derivatives:		Sold Protection		Purchased Protection
a. Notional amounts:	BHCK	Amount		BHCK	Amount
	(1)	Credit default swaps.....................................................................................	C968		0	C969	165,000	7.a.(1)

	(2)	Total return swaps........................................................................................	C970		0	C971	0	7.a.(2)

	(3)	Credit options...............................................................................................	C972		0	C973	0	7.a.(3)
	(4)	Other credit derivatives.................................................................................	C974		0	C975	0	7.a.(4)
b.	Gross fair values:
	(1)	Gross positive fair value...............................................................................	C219		0	C221	2,000	7.b.(1)
	(2)	Gross negative fair value..............................................................................	C220		0	C222	0	7.b.(2)

1. The $5 billion asset size test is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 34 of 73
RSSD ID: 3587146

Schedule HC-L-Continued

Report only transactions with nonrelated institutions

Dollar Amounts in Thousands		BHCK	Amount

7. c. Notional amounts by regulatory capital treatment: 1

Positions covered under the Market Risk Rule:

............................................................................................................................(a) Sold protection							G401	0	7.c.(1)(a)
..................................................................................................................(b) Purchased protection							G402	0	7.c.(1)(b)
(2) All other positions:
............................................................................................................................(a) Sold protection							G403	0	7.c.(2)(a)
(b) Purchased protection that is recognized as a guarantee for regulatory capital
	purposes.....................................................................................................................................							G404	0	7.c.(2)(b)
(c) Purchased protection that is not recognized as a guarantee for regulatory capital
	purposes.....................................................................................................................................							G405	165,000	7.c.(2)(c)

					Remaining Maturity of:
			(Column A)			(Column B)		(Column C)
		One year or less		Over One Year Through	Over Five Years
						Five Years
	Dollar Amounts in Thousands	BHCK	Amount		BHCK		Amount	BHCK	Amount
d. Notional amounts by remaining maturity:
(1) Sold credit protection: 2
(a)	Investment grade................................									7.d.(1)(a)
G406		0	G407		0	G408	0
(b)	Subinvestment grade..........................	G409		0	G410		0	G411	0	7.d.(1)(b)
(2) Purchased credit protection: 3
(a)	Investment grade................................									7.d.(2)(a)
G412		0	G413		165,000	G414	0
(b)	Subinvestment grade..........................	G415		0	G416		0	G417	0	7.d.(2)(b)


								BHCK	Amount
Item 8 is to be completed by holding companies with foreign offices and by holding companies
with domestic offices only and $100 billion or more in total consolidated assets. 4
..................................................................................................................8. Spot foreign exchange contracts							8765	103,674,000	8.

9. All other off-balance-sheet items (exclude derivatives) (include in item 9 the aggregate amount all other off-balance-sheet items that individually exceed 10 percent of Schedule HC, item 27.a, "Total holding company equity capital") (itemize and describe in items 9.a through


9.f only amounts that exceed 25 percent of Schedule HC, item 27.a)	3430	0	9.

			9.a.
a. Commitments to purchase when-issued securities.................................................................................	3434	0
			9.b.
b. Commitments to sell when-issued securities..........................................................................................	3435	0
	TEXT
c.	6561		6561	0	9.c.
	TEXT
d.	6562		6562	0	9.d.
	TEXT
e.	6568		6568	0	9.e.
	TEXT
f.	6586		6586	0	9.f.

Not applicable

Sum of items 7.c.(1)(a) and 7.c.(2)(a), must equal sum of items 7.a.(1) through (4), column A.
Sum of items 7.c.(1)(b), 7.c.(2)(b), and 7.c.(2)(c) must equal sum of items 7.a.(1) through (4), column B.
Sum of items 7.d.(1)(a) and (b), columns A through C, must equal sum of items 7.a.(1) through (4), column A.
Sum of items 7.d.(2)(a) and (b), columns A through C, must equal sum of items 7.a.(1) through (4), column B.
The $100 billion asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation					FR Y-9C
Legal Title of Bank						Page 35 of 73
	RSSD ID: 3587146
	Schedule HC-L-Continued

			(Column A)	(Column B)	(Column C)	(Column D)
			Interest Rate	Foreign Exchange	Equity Derivative	Commodity and
		Dollar Amounts in Thousands	Contracts		Contracts	Contracts	Other Contracts
	Derivatives Position Indicators	Amount		Amount	Amount	Amount
	Items 11.a. through 14.b.(2)
	are to be completed by holding
	companies with $5 billion or
	more in total assets. 1
	11. Gross amounts (e.g.,
	notional amounts) (for each
	column, sum of items 11.
	through 11.e must equal
	sum of items 12 and 13):	BHCK 8693	BHCK 8694	BHCK 8695	BHCK 8696
	a.	Futures contracts.........	4,988,000	0	61,000	0	11.a.
			BHCK 8697	BHCK 8698	BHCK 8699	BHCK 8700
	b.	Forward contracts........	85,989,000	297,542,000	0	0	11.b.
	c.	Exchange-traded
		option contracts:	BHCK 8701	BHCK 8702	BHCK 8703	BHCK 8704
		(1) Written options.........	0	0	16,000	0	11.c.(1)
			BHCK 8705	BHCK 8706	BHCK 8707	BHCK 8708
		(2) Purchased options…	100,000	0	25,000	0	11.c.(2)
	d. Over-the-counter
		option contracts:	BHCK 8709	BHCK 8710	BHCK 8711	BHCK 8712
		(1) Written options.........	9,674,000	5,802,000	0	0	11.d.(1)
			BHCK 8713	BHCK 8714	BHCK 8715	BHCK 8716
		(2) Purchased options…	8,392,000	5,949,000	0	0	11.d.(2)
			BHCK 3450	BHCK 3826	BHCK 8719	BHCK 8720
	e. Swaps...........................	194,808,000	519,448,000	1,167,000	0	11.e.
	12. Total gross notional
	amount of derivative con-	BHCK A126	BHCK A127	BHCK 8723	BHCK 8724
	tracts held for trading.........	273,595,000	821,217,000	1,269,000	0	12.
	13. Total gross notional amount
	of derivative contracts
	held for purposes	BHCK 8725	BHCK 8726	BHCK 8727	BHCK 8728
	other than trading................	30,356,000	7,524,000	0	0	13.
	14. Gross fair values of
	derivative contracts:
	a.	Contracts held for
		trading:
		(1) Gross positive fair	BHCK 8733	BHCK 8734	BHCK 8735	BHCK 8736
		value.........................	5,922,000	9,998,000	17,000	0	14.a.(1)
		(2) Gross negative fair	BHCK 8737	BHCK 8738	BHCK 8739	BHCK 8740
		value.........................	5,204,000	11,802,000	52,000	0	14.a.(2)
	b. Contracts held for pur-
		poses other than
		trading:
		(1) Gross positive fair	BHCK 8741	BHCK 8742	BHCK 8743	BHCK 8744
		value........................	0	187,000	0	0	14.b.(1)
		(2) Gross negative fair	BHCK 8745	BHCK 8746	BHCK 8747	BHCK 8748
		value........................	927,000	46,000	0	0	14.b.(2)

1. Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 36 of 73
RSSD ID: 3587146

Schedule HC-L-Continued

			(Column A)	(Column B)		(Column C)		(Column D)		(Column E)
		Banks and Securities	Not Applicable		Hedge Funds	Sovereign Governments	Corporations and
			Firms						All Other Counterparties
	Dollar Amounts in Thousands	BHCK	Amount		BHCK	Amount	BHCK	Amount	BHCK	Amount
Item 15 is to be completed only by holding com-
panies with total assets of $10 billion or more. 1
15. Over-the counter derivatives:
a. Net current credit exposure............................	G418	1,011,000		G420	2,331,000	G421	510,000	G422	7,456,000	15.a.
b. Fair value of collateral:
(1)	Cash-U.S. dollar....................................	G423	1,218,000		G425	968,000	G426	110,000	G427	301,000	15.b.(1)
(2)	Cash-Other currencies...........................	G428	167,000		G430	512,000	G431	0	G432	92,000	15.b.(2)
(3)	U.S. Treasury securities...........................	G433	26,000		G435	26,000	G436	0	G437	26,000	15.b.(3)
(4)	U.S. government agency and U.S.
	government-sponsored agency
	debt securities..........................................	G438	76,000		G440	0	G441	0	G442	276,000	15.b.(4)
(5)	Corporate bonds......................................	G443	5,000		G445	0	G446	0	G447	7,000	15.b.(5)
(6)	Equity securities.......................................	G448	0		G450	0	G451	0	G452	0	15.b.(6)
(7)	All other collateral....................................	G453	2,000		G455	22,000	G456	0	G457	125,000	15.b.(7)
(8)	Total fair value of collateral (sum of
	items 15.b.(1) through (7)).......................	G458	1,494,000		G460	1,528,000	G461	110,000	G462	827,000	15.b.(8)

1. The $10 billion asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation									FR Y-9C
Legal Title of Bank									Page 37 of 73
	RSSD ID: 3587146
	Schedule HC-M-Memoranda

			Dollar Amounts in Thousands	BHCK	Amount
1.	Total number of holding company common shares		Number (Unrounded)
		outstanding........................................................................................................	3459		885,442,821				1.
2.	Debt maturing in one year or less (included in Schedule HC, items 16 and 19.a) that is
		issued to unrelated third parties by bank subsidiaries.................................................................................					6555	1,734,000	2.
3.	Debt maturing in more than one year (included in Schedule HC, items 16 and 19.a) that is
		issued to unrelated third parties by bank subsidiaries.................................................................................					6556	1,279,000		3.
4.	Other assets acquired in satisfaction of debts previously contracted..........................................................					6557	0	4.
5.	Securities purchased under agreements to resell offset against securities sold under
		agreements to repurchase on Schedule HC...............................................................................................					A288	80,203,000		5.

Items 6.a.(1)(a)(1) though 6.d. are to be completed by holding companies with $5 billion or more in total assets. 1

6. Assets covered by loss-sharing agreements with the FDIC:

Loans and leases (included in Schedule HC, items 4.a and 4.b):
1. Loans secured by real estate in domestic offices:

(a)	Construction, land development, and other land loans:	BHDM
	(1)	1-4 family residential construction loans.............................................................................	K169	0	6.a.(1)(a)(1)
	(2)	Other construction loans and all land development and other land loans.............................	K170	0	6.a.(1)(a)(2)
(b)
Secured by farmland.................................................................................................................	K171	0	6.a.(1)(b)

Secured by 1-4 family residential properties:
(1) Revolving, open-end loans secured by 1-4 family residential properties and


	extended under lines of credit.............................................................................................	K172	0	6.a.(1)(c)(1)
	(2) Closed-end loans secured by 1-4 family residential properties:
	(a) Secured by first liens......................................................................................................	K173	0	6.a.(1)(c)(2)(a)

	(b) Secured by junior liens...................................................................................................	K174	0	6.a.(1)(c)(2)(b)
	(d) Secured by multifamily (5 or more) residential properties.........................................................	K175	0	6.a.(1)(d)
	(e) Secured by nonfarm nonresidential properties:
	(1) Loans secured by owner-occupied nonfarm nonresidential properties.................................	K176	0	6.a.(1)(e)(1)

	(2) Loans secured by other nonfarm nonresidential properties..................................................	K177	0	6.a.(1)(e)(2)
		BHCK
(2)-(4) Not applicable
(5)	All other loans and leases...............................................................................................................	K183	0	6.a.(5)
b. Other real estate owned (included in Schedule HC, item 7):	BHDM
(1)	Construction, land development, and other land in domestic offices...............................................	K187	0	6.b.(1)
(2)	Farmland in domestic offices...........................................................................................................	K188	0	6.b.(2)
(3)
1-4 family residential properties in domestic offices........................................................................	K189	0	6.b.(3)
(4)
Multifamily (5 or more) residential properties in domestic offices.....................................................	K190	0	6.b.(4)
(5)	Nonfarm nonresidential properties in domestic offices....................................................................	K191	0	6.b.(5)

1. Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

	The Bank of New York Mellon Corporation					FR Y-9C
Legal Title of Bank				Page 38 of 73
	RSSD ID: 3587146
	Schedule HC-M-Continued

			Dollar Amounts in Thousands	BHFN	Amount
6.	b. (6) In foreign offices.........................................................................................................................................................		K260	0	6.b.(6)
		(7) Portion of covered other real estate owned included in items 6.b.(1) through (6)		BHCK
		above that is protected by FDIC loss-sharing agreements........................................................................................		K192	0	6.b.(7)
		c. Debt securities (included in Schedule HC, items 2.a and 2.b)........................................................................................		J461	0	6.c
		..................................................................................d. Other assets (exclude FDIC loss-sharing indemnification assets)		J462	0	6.d.
	Items 7.a and 7.b are to be completed annually in December report only.
7.	Captive insurance and reinsurance subsidiaries:
		...............................................................................................................a. Total assets of captive insurance subsidiaries1		K193	1,417,000	7.a.
		............................................................................................................b. Total assets of captive reinsurance subsidiaries1		K194	0	7.b.
8.	Has the holding company entered into a business combination during the calendar year that was
0=No	BHCK
		.................................accounted for by the purchase method of accounting? (Enter "1" for Yes; enter "0" for No)	1=Yes	C251	0	8.
9.	Has the holding company restated its ﬁnancial statements during the last quarter as a result of new or
0=No	BHCK
		..............................revised Statements of Financial Accounting Standards? (Enter ''1'' for Yes; enter ''0'' for No)	1=Yes	6689	0	9.

Not Applicable
Have all changes in investments and activities been reported to the Federal Reserve on the Report of Changes

Changes in Organizational Structure (FR Y-10)? Holding companies must not leave blank or enter
"N/A." The holding company must enter "1" for yes or for no changes to report; or enter "0" for no.		0=No	BHCK
......................................................................................If the answer to this question is no, complete the FR Y-10				1=Yes	6416		1	11.

	TEXT
	6428
		Name of Holding Company Official Verifying FR Y-10 Reporting		Area Code and Phone Number (TEXT 9009)
		(Please Type or Print)
							BHCK		Amount
12. Intangible assets:
...............................................................................................................................................a. Mortgage servicing assets					3164		0	12.a.
	(1) Estimated fair value of mortgage servicing assets..............................….....								12.a.(1)
	6438		0
b. Goodwill...........................................................................................................................................................................					3163		17,240,000	12.b.
................................................................................................................................................c. All other intangible assets					JF76		3,070,000	12.c.
							BHCT
...............................................................d. Total (sum of items 12.a, 12.b, and 12.c) (must equal Schedule HC, item 10)					2143		20,310,000	12.d.
13. Other real estate owned								13.
				2150		1,000
14. Other borrowed money:					BHCK
...........................................................................................................................................................a. Commercial paper					2309		1,121,000	14.a.
.............................................................................b. Other borrowed money with a remaining maturity of one year or less					2332		12,731,000	14.b.
.......................................................................c. Other borrowed money with a remaining maturity of more than one year					2333		23,401,000	14.c.
							BHCT
...............................................................d. Total (sum of items 14.a, 14.b, and 14.c) (must equal Schedule HC, item 16)					3190		37,253,000	14.d.
15. Does the holding company sell private label or third-party mutual funds and annuities?
	0=NO	BHCK
..........................................................................................................................(Enter ''1'' for yes; enter ''0'' for no)				1=YES	B569		1	15.

							BHCK		Amount
.................................................................................16. Assets under management in proprietary mutual funds and annuities					B570		312,099,000	16.

1. Report total assets before eliminating intercompany transactions between the consolidated insurance or reinsurance subsidiary and other
offices or consolidated subsidiaries of the reporting holding company.	09/2018

The Bank of New York Mellon Corporation					FR Y-9C
Legal Title of Bank				Page 39 of 73
RSSD ID: 3587146
Schedule HC-M-Continued
The following two questions (items 17 and 18) will be used to determine if the reporting holding company
must complete the Consolidated Holding Company Report of Equity Investments in Nonﬁnancial
Companies (FR Y-12). See the line item instructions for further details.
17. Does the holding company hold, either directly or indirectly through a subsidiary or affiliate, any non-
financial equity investments (see instructions for definition) within a Small Business Investment
Company (SBIC) structure, or under section 4(c)(6) or 4 (c)(7) of the Bank Holding Company Act, or
pursuant to the merchant banking authority of section 4(k)4(H) of the Bank Holding Company Act, or	0=No	BHCK
pursuant to the investment authority granted by Regulation K? (Enter ''1'' for Yes; enter ''0'' for No.).....................	1=Yes	C161	1	17.
If the answer to item 17 is no, your organization does not need to complete the FR Y-12. Skip item 18
and proceed to items 19.a and 19.b below. If the answer to item 17 is yes, proceed to item 18.

18. Do your aggregate nonﬁnancial equity investments (see instructions for deﬁnition) equal or exceed the

lesser of $100 million (on an acquisition cost basis) or 10 percent of the bank holding company's	0=No	BHCK
consolidated Tier 1 capital as of the report date? (Enter ''1''for yes; enter ''0'' for no)............................................	1=Yes	C159	1	18.

If the answer to both item 17 and item 18 is yes, your organization must complete the FR Y-12. Skip items 19.a and 19.b and proceed to item 20 below.

If the answer to either item 17 or item 18 is no, your organization does not need to complete the FR

Y-12. Proceed to items 19.a. and 19.b. below.

Items 19.a. and 19.b. are to be completed by all holding companies that are not required to file the FR Y-12.

19. a. Has the holding company sold or otherwise liquidated its holding of any nonfinancial	0=No	BHCK
equity investment since the previous reporting period? (Enter ''1'' for Yes; enter ''0'' for No).............................	1=Yes	C700	19.a.
b. Does the holding company manage any nonfinancial equity investments for the benefit of others?	0=No
(Enter ''1'' for Yes; enter ''0'' for No).....................................................................................................................	1=Yes	C701	19.b.

Dollar Amounts in Thousands	BHCK	Amount
Memoranda items 20 and 21 are to be completed only by holding companies who have made
an effective election to become a financial holding company. See the line item instructions for
further details.

20. Balances of broker-dealer subsidiaries engaged in underwriting or dealing securities pursuant to Section 4(k)(4)(E) of the Bank Holding Company Act as amended by the Gramm-Leach-Bliley Act:

a. Net assets.........................................................................................................................................................................		C252	7,404,000	20.a.
b. Balances due from related institutions:
(1)	Due from the holding company (parent company only), gross...................................................................................		4832	1,000	20.b.(1)
(2)	Due from subsidiary banks of the holding company, gross........................................................................................		4833	19,000	20.b.(2)
(3)	Due from nonbank subsidiaries of the holding company, gross.................................................................................		4834	53,000	20.b.(3)
c. Balances due to related institutions:
(1)	Due to holding company (parent company only), gross..............................................................................................		5041	7,000	20.c.(1)
(2)	Due to subsidiary banks of the holding company, gross.............................................................................................		5043	20,000	20.c.(2)
(3)	Due to nonbank subsidiaries of the holding company, gross.....................................................................................		5045	178,000	20.c.(3)
d. Intercompany liabilities reported in items 20.c.(1), 20.c.(2), and 20.c.(3) above that qualify
as liabilities subordinated to claims of general creditors...................................................................................................		5047	50,000	20.d.

21. Net assets of subsidiaries engaged in insurance or reinsurance underwriting pursuant to Section 4(k)(4)(B) of the Bank Holding Company Act as amended by the Gramm-

Leach-Bliley Act (12 U.S.C. § 1843(k)(4)(B))1
C253	19,000 21.

1. A savings and loan holding company that wishes to engage in financial holding company activities must have an effective election to be treated as a financial holding company or conducts activities under section 10(c)(2)(H)(i) of the HOLA (12 U.S.C. 1467a(c)(2)(H)(i)).

03/2013

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 40 of 73
RSSD ID: 3587146

Schedule HC-M-Continued

Memoranda item 22 is to be completed by holding companies with total assets of $30 billion or more.

22. Address (URL) for the reporting holding company's web page that displays risk disclosures, including those about credit and market risk. (Example: www.examplebhc.com/riskdisclosures)

Memoranda items 23 and 24 are to be completed by all holding companies.

23. Secured liabilities:

a. Amount of "Federal funds purchased in domestic offices" that are secured

		(included in Schedule HC, item 14.a)..............................................................................................	F064	0	23.a.
	b. Amount of "Other borrowings" that are secured (included in Schedule HC-M, item 14.d)................	F065	8,301,000	23.b.
24.	Issuances associated with the U.S. Department of Treasury Capital Purchase Program:
	a.	Senior perpetual preferred stock or similar items.............................................................................	G234	0	24.a.
	b.				24.b.
	Warrants to purchase common stock or similar items.....................................................................	G235	0

03/2013

The Bank of New York Mellon Corporation	For Federal Reserve Bank Use Only	FR Y-9C
Legal Title of Bank	C.I. __________	Page 41 of 73
RSSD ID: 3587146

Schedule HC-N-Past Due and Nonaccrual Loans,

Leases, and Other Assets

(Column A)

(Column B)

(Column C)

Past due

Nonaccrual

30 through 89 days

90 days or more

and still accruing

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

1. Loans secured by real estate:

Construction, land development, and other

land loans in domestic ofﬁces:

(1)

1-4 family residential construction loans............

F172

F174

F176

1.a.(1)

(2)

Other construction loans and all land

development and other land loans......................

F173

F175

F177

1.a.(2)

Secured by farmland in domestic ofﬁces..................

3493

3494

3495

1.b.

Secured by 1-4 family residential properties in domestic ofﬁces:
1. Revolving, open-end loans secured by

	1-4 family residential properties and
	extended under lines of credit.............................	5398	1,000	5399	0	5400	2,000	1.c.(1)
	(2) Closed-end loans secured by 1-4 family
	residential properties:
	(a) Secured by first liens.....................................	C236	21,000	C237	0	C229	84,000	1.c.(2)(a)

	(b) Secured by junior liens..................................	C238	0	C239	0	C230	0	1.c.(2)(b)
d.	Secured by multifamily (5 or more)
	residential properties in domestic ofﬁces..................	3499	0	3500	0	3501	0	1.d.

Secured by nonfarm nonresidential properties in domestic ofﬁces:

	(1)	Loans secured by owner-occupied
		nonfarm non-residential properties.....................	F178	0	F180	0	F182	0	1.e.(1)
	(2)	Loans secured by other nonfarm
		non-residential properties...................................	F179	0	F181	0	F183	0	1.e.(2)

f.	In foreign ofﬁces........................................................	B572	0	B573	0	B574	0	1.f.

2. Loans to depository institutions and acceptances of other banks:

U.S. banks and other U.S. depository

		institutions.................................................................	5377	0	5378	0	5379	0	2.a.
	b.	Foreign banks...........................................................	5380	0	5381	0	5382	0	2.b.
3.	Loans to ﬁnance agricultural production and
	other loans to farmers...........................................................	1594	0	1597	0	1583	0	3.
4.	Commercial and industrial loans..........................................	1606	0	1607	0	1608	0	4.
5.	Loans to individuals for household, family, and
	other personal expenditures:
	a.	Credit cards...............................................................	B575	0	B576	0	B577	0	5.a.

	b.	Automobile loans.......................................................	K213	0	K214	0	K215	0	5.b.

Other consumer loans (includes single

	payment, installment, all student loans, and
	revolving credit plans other than credit cards)..........	K216	34,000	K217	0	K218	0	5.c.
6.	Loans to foreign
	governments and ofﬁcial institutions.....................................	5389	0	5390	0	5391	0	6.
7.	All other loans..................................................................….		5459	52,000	5460	0	5461	0	7.

12/2019

	The Bank of New York Mellon Corporation								FR Y-9C
Legal Title of Bank								Page 42 of 73
	RSSD ID: 3587146
	Schedule HC-N-Continued

				(Column A)		(Column B)			(Column C)
					Past due		Past due			Nonaccrual
			30 through 89 days	90 days or more
			and still accruing	and still accruing
	Dollar Amounts in Thousands	BHCK		Amount	BHCK	Amount		BHCK	Amount
	Holding companies with less than $5 billion in total
	assets are to report data item 8.c columns A, B
	and C and should leave data items 8.a and 8.b
	columms A, B and C blank. 1					2

8. Lease ﬁnancing receivables:

	a. Leases to individuals for household, family,
		and other personal expenditures...................................	F166	0	F167	0	F168	0	8.a.
	b.	All other leases..............................................................	F169	0	F170	0	F171	0	8.b.
	c.	Lease finance receivables........................................	KX63		KX64		KX65		8.c.
9.	Total loans and leases (sum of items 1 through 8.c)2	1406	108,000	1407	0	1403	86,000	9.
10.	Debt securities and other assets (exclude
	other real estate owned and other
	repossessed assets)..................................…......................	3505	6,000	3506	9,000	3507	0	10.

11. Loans and leases reported in items 1 through 8 above which are wholly or partially guaranteed by the U.S.Government

(excluding loans and leases covered by
loss-sharing agreements with the FDIC).............................	K036	0	K037	0	K038	0	11.
a. Guaranteed portion of loans and leases
(exclude rebooked "GNMA loans")
included in item 11 above..............................................	K039	0	K040	0	K041	0	11.a.
b. Rebooked "GNMA loans" that have
been repurchased or are eligible for
repurchase included in item 11 above...........................	K042	0	K043	0	K044	0	11.b.

12. Loans and leases in items 1 through 8 above which are covered by loss-sharing agreements with the FDIC - (items 12(a)(1)(a) through 12(f) are to be reported by holding companies with $5 billion or more in total assets):1

a. Loans secured by real estate in

domestic offices:

Construction, land development, and other land loans:

(a) 1-4 family residential		BHDM		BHDM		BHDM
construction loans..............................................	K045	0	K046	0	K047	0	12.a.(1)(a)
(b) Other construction loans and
all land development and
other land loans.................................................	K048	0	K049	0	K050	0	12.a.(1)(b)
(2) Secured by farmland...............................................		K051	0	K052	0	K053	0	12.a.(2)


1.	Asset-size test is based on the total assets reported as of prior year June 30 report date.
2.	For holding companies with less than $5 billion in total assets, Total loans and leases (sum of items 1 through 7 plus 8c.)	12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 43 of 73

RSSD ID: 3587146

Schedule HC-N-Continued

(Column A)

(Column B)

(Column C)

Past due

Nonaccrual

30 through 89 days

90 days or more

and still accruing

Dollar Amounts in Thousands

BHDM

Amount

BHDM

Amount

BHDM

Amount

12. Loans and leases in items 1 through 8

above which are covered by

loss-sharing agreements with the FDIC - (items

12(a)(1)(a) through 12(f) are to be reported

by holding companies with $5

billion or more in total assets) (continued):

(3)

Secured by 1-4 family residential

properties:

(a) Revolving, open-end loans

secured by 1-4 family residential

properties and extended under

lines of credit....................................................

K054

K055

K056

12.a.(3)(a)

(b) Closed-end loans secured by

1-4 family residential properties:

(1) Secured by first liens...................................

K057

K058

K059

12.a.(3)(b)(1)

(2) Secured by junior liens................................

K060

K061

K062

12.a.(3)(b)(2)

(4)

Secured by multifamily (5 or

more) residential properties...................................

K063

K064

K065

12.a.(4)

(5) Secured by nonfarm

nonresidential properties:

(a) Loans secured by owner-

occupied nonfarm nonresidential

properties.........................................................

K066

K067

K068

12.a.(5)(a)

(b) Loans secured by other non-farm

nonresidential properties.................................

K069

K070

K071

12.a.(5)(b)

b.-d. Not applicable

03/2018

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 44 of 73

RSSD ID: 3587146

Schedule HC-N-Continued

(Column A)

(Column B)

(Column C)

Past due

Nonaccrual

30 through 89 days

90 days or more

and still accruing

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

12. e.

All other loans and leases.........................................

K087

K088

K089

12.e.

Portion of covered loans and leases

included in items 12.a through 12.e

above that is protected by FDIC loss-

sharing agreements..................................................

K102

K103

K104

12.f.

Memoranda

Dollar Amounts in Thousands

BHDM

Amount

BHDM

Amount

BHDM

Amount

Memoranda items 1.a.(1) through 1.d.(2) and 1.e.(3) through 1.f.(3)(c) are to be completed semiannually in June and December by HCs with less than

$5 billion in total assets. 1

1. Loans restructured in troubled debt restructurings included in Schedule HC-N, items 1 through 7, above (and not reported in Schedule HC-C, Memorandum item 1):

Construction, land development, and other land loans in domestic offices:
1. 1-4family residential construction


	loans...................................................................	K105	0	K106	0	K107	0	M.1.a.(1)
(2)	Other construction loans and all land
	development and other land loans......................	K108	0	K109	0	K110	0	M.1.a.(2)
b. Loans secured by 1-4 family residential	BHCK		BHCK		BHCK
properties in domestic offices....................................	F661	1,000	F662	0	F663	56,000	M.1.b.
c. Secured by multifamily (5 or more) resi-	BHDM		BHDM		BHDM
dential properties in domestic offices.........................	K111	0	K112	0	K113	0	M.1.c.
d. Secured by nonfarm nonresidential
properties in domestic offices:
(1)	Loans secured by owner-occupied
	nonfarm nonresidential properties.......................	K114	0	K115	0	K116	0	M.1.d.(1)
(2)	Loans secured by other nonfarm
	nonresidential properties....................................	K117	0	K118	0	K119	0	M.1.d.(2)

1. Asset-size test is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 45 of 73
RSSD ID: 3587146

Schedule HC-N-Continued

Memoranda-Continued

			(Column A)			(Column B)			(Column C)
			Past due			Past due			Nonaccrual
		30 through 89 days		90 days or more
		and still accruing		and still accruing
	Dollar Amounts in Thousands	BHCK	Amount		BHCK	Amount		BHCK	Amount
Holding companies with less than $5 billion in total assets
are to report data item 1.e.(3) columns A, B and C and
should leave Memoranda items 1.e.(1) and 1.e.(2) columns
A, B and C blank. 1
1. e. Commercial and industrial loans:
	(1) To U.S. addressees (domicile)........................................	K120		0	K121		0	K122	0	M.1.e.(1)
	(2) To non-U.S. addressees (domicile).................................	K123		0	K124		0	K125	0	M.1.e.(2)
	(3) To U.S. addressees (domicile) and Non-U.S.
	addressees (domicile)….................................................	KX66			KX67			KX68		M.1.e.(3)
f.	All other loans (include loans to individuals
	for household, family, and other personal
	expenditures)..........................................................................	K126		0	K127		0	K128	0	M.1.f.
	Itemize and describe loan categories
	included in item 1.f, above that exceed 10
	percent of total loans restructured in troubled
	debt restructurings that are past due 30 days
	or more or in non-accrual status (sum of
	Memorandum items 1.a through 1.f, columns
	A through C):
	(1) Loans secured by farmland in domestic	BHDM			BHDM			BHDM
	offices..............................................................................	K130		0	K131		0	K132	0	M.1.f.(1)
	(2) Loans to finance agricultural production	BHCK			BHCK			BHCK
	and other loans to farmers..............................................	K138		0	K139		0	K140	0	M.1.f.(2)
	(3) Loans to individuals for household,
	family, and other personal expenditures:
	(a) Credit cards................................................................	K274		0	K275		0	K276	0	M.1.f.(3)(a)
	(b) Automobile loans.......................................................	K277		0	K278		0	K279	0	M.1.f.(3)(b)
	(c) Other consumer loans (includes
	single payment, installment, all
	student loans, and revolving credit
	plans other than credit cards)....................................	K280		0	K281		0	K282	0	M.1.f.(3)(c)
g. Total loans restructured in troubled debt restructurings
	included in Schedule HC-N, items 1 through 7, above
	(sum of Memorandum items 1.a.(1) through item 1.f)2	HK26	1,000	HK27		0	HK28	56,000	M.1.g.
2. Loans to ﬁnance commercial real estate,
construction, and land development activities
(not secured by real estate) included in
Schedule HC-N, items 4 and 7 above.........................................	6558		0	6559		0	6560	0	M.2.
3. Loans and leases included in Schedule
HC-N, items 1, 2, 4, 5, 6, 7, and 8 extended
to non-U.S. addressees...............................................................	3508		0	1912		0	1913	0	M.3.
4. Not applicable
5. Loans and leases held-for-sale (included in
Schedule HC-N, items 1 through 8 above)………………………	C240		0	C241		0	C226	0	M.5.

Asset-sizetest is based on the total assets reported as of prior June 30 report date.
Exclude amounts reported in Memorandum items 1.f.(1) through 1.f.(3) when calculating the total in Memorandum item 1.g.

12/2019

	The Bank of New York Mellon Corporation								FR Y-9C
Legal Title of Bank								Page 46 of 73
	RSSD ID: 3587146
	Schedule HC-N-Continued
	Memoranda-Continued

			(Column A)		(Column B)
			Past due		Past due
		30 through 89 days	90 days or more
	Dollar Amounts in Thousands	BHCK		Amount	BHCK	Amount
Item 6 is to be reported only by holding companies
with total consolidated assets of $5 billion or more,
or with $2 billion or more in par/notional amounts of
off-balance-sheet derivative contracts (as reported
in Schedule HC-L, items 11.a through 11.e).
6. Derivative contracts:
	Fair value of amounts carried as assets........................	3529	0	3530	0		M.6.

					Dollar Amounts in Thousands	BHCK	Amount
	Memorandum items 7, 8, 9.a and 9.b are to be completed semiannually in the June and
	December reports only.
	7. Additions to nonaccrual assets during the previous six months	...................................................................................			C410	0	M.7.
	8. Nonaccrual assets sold during the previous six months...............................................................................................					C411	0	M.8.

			(Column A)		(Column B)		(Column C)
			Past due		Past due		Nonaccrual
		30 through 89 days	90 days or more
		and still accruing	and still accruing
	Dollar Amounts in Thousands	BHCK		Amount	BHCK	Amount	BHCK	Amount
	9. Purchased credit-impaired loans accounted for in
	accordance with FASB ASC 310-30 (former
	AICPA Statement of Position 03-3) :1
	a. Outstanding balance..................................................	L183			L184		L185		M.9.a.
	b. Amount included in Schedule HC-N, items 1
	through 7, above.......................................................	L186			L187		L188		M.9.b.

1. Memorandum items 9.a and 9.b should be completed only by holding companies that have not yet adopted ASU 2016-13.

Schedule HC-P-1-4 Family Residential Mortgage Banking Activities in Domestic Offices

Schedule HC-P is to be completed by holding companies with $5 billion or more in total assets purchases for resale1 from all sources, loan sales, or quarter-end loans held for sale or trading $10 million for two consecutive quarters.

1 2 at which either 1-4 family residential mortgage loan originations and in domestic offices that exceed

	Dollar Amounts in Thousands	BHCK	Amount
1.	Retail originations during the quarter of 1-4 family residential mortgage loans for sale:1……………………………..…	HT81	0	1.
2.	Wholesale originations and purchases during the quarter of 1-4 family residential mortgage
	loans for sale:1……………………………………………………………………………………………………………………	HT82	0	2.
3.	1-4 family residential mortgages sold during the quarter………………………………………………………………….	FT04	0	3.
4.	1-4 family residential mortgages held for sale or trading at quarter-end (included in Schedule
	HC, items 4.a and 5)……………………………………………………………………………………………………………	FT05	0	4.
5.	Noninterest income for the quarter from the sale, securitization, and servicing of 1-4 family
	residential mortgage loans (included in Schedule HI, items 5.c, 5.f, 5.g, and 5.i)……………………………………….	HT85	0	5.
6.	Repurchases and indemnifications of 1-4 family residential mortgage loans during the quarter………………………	HT86	0	6.

7 Representation and warranty reserves for 1 - 4 family residential mortgage loans sold:

a. For representations and warranties made to U.S. government agencies and government-

sponsored agencies..................................................................................................................................................	L191	7.a.
b. For representations and warranties made to other parties.......................................................................................	L192	7.b.
c. Total representation and warranty reserves (sum of items 7.a and 7.b)..................................................................	M288	7.c.

Exclude originations and purchases of 1-4 family residential mortgage loans that are held for investment.
Asset-sizetest is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 47 of 73
RSSD ID: 3587146

Schedule HC-Q-Assets and Liabilities Measured at Fair Value on a Recurring Basis

Schedule HC-Q is to be completed by all holding companies with $5 billion or more in total assets 2 that:

Have elected to report financial instruments or servicing assets and liabilities at fair value under a fair value option with changes in fair value recognized in earnings, or
Are required to complete Schedule HC-D, Trading Assets and Liabilities.

			(Column A)		(Column B)		(Column C)		(Column D)		(Column E)
		Total Fair Value	LESS: Amounts Netted	Level 1 Fair Value	Level 2 Fair Value	Level 3 Fair Value
			Reported on	in the Determination	Measurements	Measurements	Measurements
		Schedule HC	of Total Fair Value
Dollar Amounts in Thousands	BHCY	Amount	BHCK	Amount	BHCK	Amount	BHCK	Amount	BHCK	Amount

Assets

1. Available-for sale debt and equity securities with readily determinable fair values not held

	for trading.1………………………………………………………		JA36	101,937,000	G474	0	G475	30,866,000	G476	71,071,000	G477	0	1.
2.	Federal funds sold and securities		BHCK
	purchased under agreements to resell................................		G478	0	G479	0	G480	0	G481	0	G482	0	2.
3.	Loans and leases held for sale............................................		G483	0	G484	0	G485	0	G486	0	G487	0	3.
4.	Loans and leases held for investment.................................		G488	0	G489	0	G490	0	G491	0	G492	0	4.
5.	Trading assets:		BHCT
	a. Derivative assets..............................................................	3543	5,696,000	G493	10,328,000	G494	14,000	G495	16,010,000	G496	0	5.a.
			BHCK
	b. Other trading assets.........................................................		G497	6,350,000	G498	0	G499	3,505,000	G500	2,845,000	G501	0	5.b.

Nontrading securities at fair value with changes in fair value reported in current earnings (included in

	Schedule HC-Q, item 5.b, above)...............................		F240	0	F684	0	F692	0	F241	0	F242	0		5.b.(1)
6.	All other assets.....................................................................		G391	541,000	G392	(158,000)	G395	57,000	G396	326,000	G804	0		6.
7.	Total assets measured at fair value on a
	recurring basis.....................................................................		G502	114,524,000	G503	10,170,000	G504	34,442,000	G505	90,252,000	G506	0		7.
Liabilities
8.	Deposits...............................................................................		F252	0	F686	0	F694	0	F253	0	F254	0		8.
9.	Federal funds purchased and securities
	sold under agreements to repurchase.................................		G507	0	G508	0	G509	0	G510	0	G511	0		9.
10.	Trading liabilities:		BHCT
	a. Derivative liablities............................................................	3547	5,318,000	G512	11,864,000	G513	15,000	G514	17,167,000	G515	0		10.a.
			BHCK
	b. Other trading liabilities......................................................		G516	1,307,000	G517	0	G518	1,165,000	G519	142,000	G520	0		10.b.

For holding companies that have adopted ASU 2016-01, which includes provisions for governing the accounting for investments in equity securities, the amount reported in item 1, column A, must equal the sum of Schedule HC, items 2.b. and 2.c. For holding companies that have not adopted ASU 2106-01, the amount reported in item 1, column A, must equal Schedule HC, item 2.b.
Asset-sizetest is based on the total assets reported as of prior year June 30 report date.

12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 48 of 73

RSSD ID: 3587146

Schedule HC-Q-Continued

(Column A)

(Column B)

(Column C)

(Column D)

(Column E)

Total Fair Value

LESS: Amounts Netted

Level 1 Fair Value

Level 2 Fair Value

Level 3 Fair Value

Reported on

in the Determination

Measurements

Schedule HC

of Total Fair Value

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

Liabilities (continued)

11.

Other borrowed money...........................................

G521

397,000

G522

G523

G524

397,000

G525

11.

12.

Subordinated notes and debentures.......................

G526

G527

G528

G529

G530

12.

13.

All other liabilities....................................................

G805

974,000

G806

G807

G808

974,000

G809

13.

14.

Total liabilities measured at fair value on a

recurring basis........................................................

G531

7,996,000

G532

11,864,000

G533

1,180,000

G534

18,680,000

G535

14.

Memoranda

Dollar Amounts in Thousands

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

BHCK

Amount

1. All other assets (itemize and describe amounts included in Schedule HC-Q, item 6 that are greater than $100,000 and exceed 25 percent

of item 6):

a. Mortgage servicing assets..................................

G536

G537

G538

G539

G540

M.1.a.

b. Nontrading derivative assets..............................

G541

187,000

G542

G543

G544

187,000

G545

M.1.b.

BHTX

G546

G547

G548

G549

G550

M.1.c.

G546

BHTX

Assets held at Net Asset Value

G551

158,000

G552

(158,000)

G553

G554

G555

M.1.d.

G551

BHTX

G556

G557

G558

G559

G560

M.1.e.

G556

BHTX

G561

G562

G563

G564

G565

M.1.f.

G561

2. All other liabilities (itemize and describe

amounts included in Schedule HC-Q, item 13

that are greater than $100,000 and exceed 25

percent of item 13):

a. Loan commitments

(not accounted for as derivatives).....................

F261

F689

F697

F262

F263

M.2.a.

b. Nontrading derivative liabilities...........................

G566

973,000

G567

G568

G569

973,000

G570

M.2.b.

BHTX

G571

G572

G573

G574

G575

M.2.c.

G571

BHTX

G576

G577

G578

G579

G580

M.2.d.

G576

BHTX

G581

G582

G583

G584

G585

M.2.e.

G581

BHTX

G586

G587

G588

G589

G590

M.2.f.

G586

06/2018

The Bank of New York Mellon Corporation

Legal Title of Bank

RSSD ID: 3587146

Schedule HC-Q-Continued

Memoranda

		Dollar Amounts in Thousands	BHCK	Amount
Memorandum items 3 and 4 are to be completed by holding companies that have elected to measure
loans included in Schedule HC-C, items 1 through 9, at fair value under a fair value option.
3	Loans measured at fair value:
	a. Loans secured by real estate:
	(1)	Secured by 1- 4 family residential properties………………………………………….……………………	HT87	0	M.3.a.(1)
	(2)	All other loans secured by real estate………………………………………………………………….………	HT88	0	M.3.a.(2)
	b. Commercial and industrial loans.....................................................................................................….........	F585	0	M.3.b.
	c. Loans to individuals for household, family, and other personal expenditures
	(i.e., consumer loans) (includes purchased paper)………………………………………..……………...………	HT89	0	M.3.c.
	d. Other loans......................................................................................…...............................................….......	F589	0	M.3.d.
4	Unpaid principal balances of loans measured at fair value (reported in memorandum item 3):
	a. Loans secured by real estate:
	(1)	Secured by 1-4 family residential properties……………………………...…………………………………	HT91	0	M.4.a.(1)
	(2)	All other loans secured by real estate………………………………………………………..………………	HT92	0	M.4.a.(2)
	..................................................................................................................b. Commercial and industrial loans	F597	0	M.4.b.
	c. Loans to individuals for household, family, and other personal expenditures
	(i.e., consumer loans) (includes purchased paper)……………………………..…………………………………	HT93	0	M.4.c.
	...................................................................................................................................................d. Other loans	F601	0	M.4.d.

FR Y-9C Page 49 of 73

06/2018

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 50 of 73
RSSD ID: 3587146

Schedule HC-R- Regulatory Capital

Part I. Regulatory Capital Components and Ratios

	Dollar Amounts in Thousands	BHCA	Amount
Common Equity Tier 1 Capital
1.	Common stock plus related surplus, net of treasury stock and unearned employee stock
	ownership plan (ESOP) shares.....................................................................................................................................			1.
	P742	7,829,000

		BHCA
2.	.......................................................................................................................................................Retained earnings1	KW00	32,601,000	2.
	a. To be completed only by institutions that have adopted ASU 2016-13.	0=No	BHCA
	1=Yes

	Does your institution have a CECL transition election in effect as of the quarter-end report date?
	(enter "1" for Yes; enter "0" for No.).........................................................................................................................	JJ29	0	2.a.

		BHCA
3.	Accumulated other comprehensive income (AOCI).......................................................................................................			3.
B530	(2,827,000)


	a. AOCI opt-out election (enter "1" for Yes; enter "0" for No.)	0=No	BHCA
	1=Yes
	(Advanced approaches institutions must enter "0" for No.)......................................................................................	P838	0	3.a.


		BHCA	Amount
4.	Common equity tier 1 minority interest includable in common equity tier 1 capital.........................................................	P839	0	4.
5.
Common equity tier 1 capital before adjustments and deductions (sum of items 1 through 4).......................................	P840	37,603,000	5.

Common Equity Tier 1 Capital: Adjustments and Deductions
6.	LESS: Goodwill net of associated deferred tax liabilities (DTLs)....................................................................................	P841	16,371,000	6.
7.
LESS: Intangible assets (other than goodwill and mortgage servicing assets (MSAs)), net of
	associated DTLs...........................................................................................................................................................	P842	2,454,000	7.
8.
LESS: Deferred tax assets (DTAs) that arise from net operating loss and tax credit carryforwards,
	net of any related valuation allowances and net of DTLs...............................................................................................	P843	46,000	8.

9. AOCI-related adjustments (items 9.a through 9.e are effective January 1, 2015) (if entered "1" for Yes in item 3.a, complete only items 9.a through 9.e; if entered "0" for No in item 3.a, complete only item 9.f): a. LESS: Net unrealized gains (losses) on available-for-sale securities


	(if a gain, report as a positive value; if a loss, report as a negative value)2..............................................................	P844		9.a.
b.	LESS: Net unrealized loss on available-for-sale preferred stock classified as an equity security
	under GAAP and available-for-sale equity exposures (report loss as a positive value)3...........................................	P845		9.b.
c.	LESS: Accumulated net gains (losses) on cash flow hedges
	(if a gain, report as a positive value; if a loss, report as a negative value)...............................................................	P846		9.c.
d.	LESS: Amounts recorded in AOCI attributed to defined benefit postretirement plans resulting
	from the initial and subsequent application of the relevant GAAP standards that pertain to such
	plans (if a gain, report as a positive value; if a loss, report as a negative value) .....................................................	P847		9.d.
e.	LESS: Net unrealized gains (losses) on held-to-maturity securities that are included in AOCI
	(if a gain, report as a positive value; if a loss, report as a negative value)...............................................................	P848		9.e.
f.	To be completed only by holding companies that entered "0" for No in 3.a:
	LESS: Accumulated net gain (loss) on cash flow hedges included in AOCI, net of applicable
	income taxes, that relate to the hedging of items that are not recognized at fair value on the
	balance sheet (if a gain, report as a positive value; if a loss, report as a negative value)........................................	P849	(3,000) 9.f.

Institutions that have adopted ASU-2016-13 and have elected to apply the CECL transition provision should include the applicable portion of the CECL transitional amount in this item.
Holding companies that entered "1" for Yes in item 3.a and have adopted ASU 2016-01 , which includes provisions governing the accounting for

investments in equity securities, should report net unrealized gains (losses)	on available-for-sale debt securities in item 9.a. Holding companies
that entered "1" for Yes in item 3.a and have not adopted ASU 2016-01 should report net unrealized gains (losses) on available-for-sale debt and
equitiy securities in item 9.a.
3. Item 9.b is to be completed only by holding companies that entered "1" for Yes in item 3.a. and have not adopted ASU 2016-01. See instructions for
further detail on ASU 2016-01.	03/2019

	The Bank of New York Mellon Corporation						FR Y-9C
Legal Title of Bank					Page 51 of 73
	RSSD ID: 3587146
	Schedule HC-R - Continued
	Part I.-Continued
					(Column A)		(Column B)
					Non-advanced		Advanced
					Approaches		Approaches
					Institutions1		Institutions1
			Dollar Amounts in Thousands	BHCA	Amount	BHCW	Amount
10.	Other deductions from (additions to) common equity Tier 1 capital before threshold-based deductions:
		a. LESS: Unrealized net gain (loss) related to changes in the fair value of liabilities that are due to
		changes in own credit risk (if a gain, report as a positive value; if a loss, report as a
		.........................................................................................................................................................negative value)	Q258	1,000			10.a.
		b. LESS: All other deductions from (additions to) common equity Tier 1 capital
		..........................................................................................................................before threshold-based deductions	P850	269,000			10.b.
11.	LESS: Non-significant investments in the capital of unconsolidated financial institutions in the form of					11.
		....................................................common stock that exceed the 10 percent threshold for non-significant investments			P851	0
12.	................Subtotal (for column A, item 5 minus items 6 through 10.b; for column B, item 5 minus items 6 through 11)	P852	18,465,000	P852	18,465,000	12.
13.	a. LESS: Investments in the capital of unconsolidated financial
		institutions, net of associated DTLs, that exceed the 25 percent of
		line 12…………………………………………………………………………………………………………………….	LB58	0			13.a.
		b. LESS: Significant investments in the capital of unconsolidated financial institutions in the form of
		common stock, net of associated DTLs, that exceed the 10 percent common equity Tier 1 capital
		deduction threshold........................................................................................................................................................			P853	0	13.b.

14.	a. LESS: MSAs, net of associated DTLs, that exceed 25 percent of line 12	LB59	0			14.a.
		b. LESS: MSAs, net of associated DTLs, that exceed the 10 percent common equity Tier 1 capital
		deduction threshold........................................................................................................................................................			P854	0	14.b.
15	a. LESS: DTAs arising from temporary differences that could not be
		realized through net operating loss carrybacks, net of related valuation
		allowances and net of DTLs that exceed the 25 percent of line 12……………………………………………………………	LB60	0
		b. LESS: DTAs arising from temporary differences that could not be realized through net operating
		loss carrybacks, net of related valuation allowances and net of DTLs, that exceed the 10 percent
		common equity Tier 1 capital deduction threshold.........................................................................................................			P855	0	15.
16.	LESS: Amount of significant investments in the capital of unconsolidated financial institutions in
		the form of common stock, net of associated DTLs; MSAs, net of associated DTLs; and DTAs
		arising from temporary differences that could not be realized through net operating loss carrybacks,
		net of related valuation allowances and net of DTLs; that exceeds the 15 percent common equity
		Tier 1 capital deduction threshold...................................................................................................................................			P856	0	16.
17.	LESS: Deductions applied to common equity tier 1 capital due to insufficient amounts of additional
		Tier 1 capital and Tier 25 capital to cover deductions.....................................................................................................
		P857	0	P857	0	17.
18.	...............................Total adjustments and deductions for common equity tier 1 capital (sum of items 13 through 17)6	P858	0	P858	0	18.
19.	Common equity tier 1 capital (item 12 minus item 18)...................................................................................................	P859	18,465,000	P859	18,465,000	19.
	Additional Tier 1 Capital
20.	Additional Tier 1 capital instruments plus related surplus..............................................................................................	P860	3,542,000			20.
21.
Non-qualifying capital instruments subject to phase out from additional Tier 1 capital..................................................	P861	0			21.
22.	Tier 1 minority interest not included in common equity Tier 1 capital.............................................................................	P862	0			22.
23.	Additional Tier 1 capital before deductions (sum of items 20, 21, and 22).....................................................................	P863	3,542,000			23.
24.	LESS: Additional Tier 1 capital deductions....................................................................................................................	P864	74,000			24.
25.
Additional tier 1 capital (greater of item 23 minus item 24 or zero)................................................................................	P865	3,468,000			25.
	Tier 1 Capital
26.	Tier 1 capital (for non-advanced approaches holding companies, sum of item 19, column A
		and item 25; for advanced approaches holding companies, sum of item 19,column B, and item 25)……………….	8274	21,933,000			26.

For the March 31, 2020, report date, non-advanced approaches holding companies that elect to adopt the capital simplifications rule on January 1, 2020, should complete column A for items 11-19;non-advanced holding companies that elect to wait to adopt the capital simplifications rule on April 1, 2020, and all advanced approaches holding companies should complete column B for items 11-19. Beginning with the June 30, 2020, report date, all non-advanced approaches holding companies should complete column A for items 11-19; all advanced approaches holding companies should complete column B for items 11-19.
Qualifying institutions that have elected to adopt the community bank leverage ratio framework are neither required to calculate tier 2 capital nor make any deductions that would have been taken from tier 2 capital.
For non-advanced approaches institutions (column A), sum of items 13.a, 14.a, 15.a, and 17, column A. For advanced-approaches holding companies (column B), sum of items 13.b, 14.b, 15.b, 16, and 17, column B.

03/2020


The Bank of New York Mellon Corporation				FR Y-9C
Legal Title of Bank			Page 52 of 73
RSSD ID: 3587146
Schedule HC-R - Continued
Part I.-Continued
Total Assets for the Leverage Ratio
	BHCA	Amount
27. Average total consolidated assets7…………………………………….…………………………………………………………………………...….		KW03	383,372,000	27.
28. LESS: Deductions from common equity tier 1 capital and additional tier 1 capital
(sum of items 6, 7, 8, 10.b, 11, 13 through 17, and certain elements of item 24 - see instructions). ………………………………………….....……		P875	19,213,000	28.
29. LESS: Other deductions from (additions to) assets for leverage ratio purposes………………………………………………………………..….…		B596	(1,899,000)	29.
30. Total assets for the leverage ratio (item 27 minus items 28 and 29)……………………………………………...………………………...……………		A224	366,058,000	30.
Leverage Ratio8
	BHCA	Percentage
31. Leverage Ratio (item 26 divided by 30) ……………………………………………………………………………...…………………………..………		7204	5.9917%	31.
a. Does your institution have a community bank leverage ratio (CBLR) framework
election in effect as of the quarter-end report date? (enter "1" for Yes;		0=No	BHCA LE74
enter "0" for No)..……………...............................................................................................………………………………..……………………		1=Yes	0	31.a.

If your institution entered "1" for Yes in item 31.a:

Complete items 32 through 36
Do notcomplete items 37 through 53
Do notcomplete Part II of Schedule RC-R.

If your institution entered "0" for No in item 31.a:

Skip (do not complete) items 32 through 36
Complete items 37 through 53
Complete Part II of Schedule HC-R.

Qualifying Criteria for Using the CBLR Framework		Column A		Column B
32.	Total assets (Schedule HC, item 12); (must be less	BHCA	Amount	BHCW	Percentage
than $10 billion………………………………………………….	2170	468,155,000			32.
33.	Trading assets and trading liabilities (Schedule HC, sum of items 5 and 15). Report as
a dollar amount in Column A and as a percentage of total consolidated assets
(5% limit) in Column B…………………………………………………………………….……………………………….…………	KX77	18,671,000	KX78	3.9882%	33.
34.	Off-balance sheet exposures
	a. Unused portion of conditionally cancellable commitments………………….……………………………………..	KX79	0			34.a.
	b. Securities lent and borrowed (Schedule HC-L, sum of items 6.a and 6.b)………………………………..…………	KX80	490,506,000			34.b.
	c. Other off-balance sheet exposures…………………….	KX81	0			34.c.
	d. Total off-balance sheet exposures (sum of items 34.a through 34.c). Report as a
	dollar amount in Column A and as a percentage of total consolidated assets (25%
	limit) in Column B………………...................................................................................................…………………	KX82	490,506,000	KX83	104.7743%	34.d.

				BHCA	Amount
35. Unconditionally cancellable commitments…………………………………………………………………………………………………………………….	S540	0	35.
36. Investments in the Tier 2 capital of unconsolidated financial institution…………………………….…………………………………………..…	LB61	0	36.
If your holding company entered "0" for No in item 31.a, complete items 37 through 53, as applicable, and Part II of Schedule HC-R.
If your institution entered "1" for Yes in item 31.a, do not complete items 37 through 53 or Part II of Schedule HC-R.
Tier 2 Capital
		BHCA	Amount
37.	Tier 2 capital instruments plus related surplus...........................................................................................................................................................			P866	1,248,000	37.
38.	Non-qualifying capital instruments subject to phase out from Tier 2 capital....................................................................................................			P867	0	38.
39.	Total capital minority interest that is not included in Tier 1 capital.............................................................................................................................			P868	0	39.
40.	a. Allowance for loan and lease losses includable in Tier 2 capital9,10.....................................................................................................................			5310	314,000	40.a.
	b. (Advanced approaches holding companies that exit parallel run only): Eligible credit reserves			BHCW
	includable in Tier 2 capital.....................................................................................................................................................................................			5310	101,000	40.b.
41.	Unrealized gains on available-for-sale preferred stock classified as an equity security under			BHCA
	GAAP and available-for-sale equity exposures includable in tier 2 capital11.............................................................................................................			Q257		41

Institutions that have adopted ASU 2016-13 and have elected to apply the CECL transition provision include the applicable portion of the CECL transitional amount.
Report ratio as a percentage, rounded to four decimal places, e.g., 12.3456.
Institutions that have adopted ASU 2016-13 should report in item 40.a. the adjusted allowances for credit losses (AACL), as defined in the regulatory capital rule includable in tier 2 capital in item 40.a.
Institutions that have adopted ASU 2016-13 and have elected to apply the CECL transition provision should subtract the applicable portion of the AACL transitional amount

from the AACL, as defined in the regulatory capital rule, before determining the amount of AACL includable in tier 2 capital. See instructions for further detail on the CECL transition provision.

11. Item 41 is to be completed only by holding companies that have not adopted ASU2016-01, which includes provisions governing the accounting for investments in equity securities. See instructions for further detail on ASU 2016-01.

03/2020

	The Bank of New York Mellon Corporation							FR Y-9C
Legal Title of Bank						Page 53 of 73
	RSSD ID: 3587146
	Schedule HC-R - Continued
	Part I.-Continued
					Dollar Amounts in Thousands	BHCA	Amount
42.	a. Tier 2 capital before deductions (sum of items 37 through 40.a, plus item 41)..............................................................			P870	1,562,000	42.a.
		b. (Advanced approaches holding companies that exit parallel run only): Tier 2 capital before		BHCW
		deductions (sum of items 37 through 39, plus items 40.b and 41).......................................		..........................................		P870	1,349,000	42.b.
							BHCA
43.	LESS: Tier 2 capital deductions............................................................................................................................................			P872	1,000	43.
44.	a. Tier 2 capital (greater of item 42.a minus item 43, or zero)............................................................................................			5311	1,561,000	44.a.
		b. Advanced approaches holding companies that exit parallel run only): Tier 2 capital
					BHCW
		...........................................(greater of item 42.b minus item 43, or zero).......................................................................			5311	1,348,000	44.b.
Total Capital

			BHCA
45.	a. Total capital (sum of items 26 and 44.a).........................................................................................................................			3792	23,494,000	45.a.
		b. (Advanced approaches holding companies that exit parallel run only): Total capital				BHCW
		(sum of items 26 and 44.b).............................................................................................................................................			3792	23,281,000	45.b.
	Total Risk-Weighted Assets
				BHCA
46.	.................................................................................a. Total risk-weighted assets (from Schedule HC-R, Part II, item 31)			A223	163,006,000	46.a.
		b. (Advanced approaches holding companies that exit parallel run only): Total risk-weighted assets		BHCW
		......................................................................using advanced approaches rule (from FFIEC 101 Schedule A, item 60)			A223	162,560,980	46.b.

						Column A		Column B
					BHCA	Percentage	BHCW	Percentage
	Risk-Based Capital Ratios*
47.	Common equity Tier 1 capital ratio (Column A: item 19 divided by item 46.a) (Advanced
		approaches holding companies that exit parallel run only: Column B: item 19 divided by
		item 46.b)....................................................................................................................................						47.
			P793	11.3278%	P793	11.3588%
48.	Tier 1 capital ratio (Column A: item 26 divided by item 46.a) (Advanced approaches
		............holding companies that exit parallel run only: Column B: item 26 divided by item 46.b)		7206	13.4553%	7206	13.4922%	48.
49.	Total capital ratio (Column A: item 45.a divided by item 46.a) (Advanced approaches
		.........holding companies that exit parallel run only: Column B: item 35.b divided by item 46.b)		7205	14.4130%	7205	14.3214%	49.

* Report each ratio and buffer as a percentage, rounded to four decimal places, e.g., 12.3456.

03/2020

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 54 of 73
RSSD ID: 3587146

Schedule HC-R - Continued

Part I.-Continued

BHCA Percentage

Capital Buffer*

50 Institution-specific capital buffer necessary to avoid limitations on distributions and discretionary bonus payments :

	a. Capital conservation buffer.............................................................................................................................................	H311	6.3214%	50.a.

	b. (Advanced approaches holding companies and holding companies subject to category III capital
	standards only): Total applicable capital buffer..............................................................................................................	H312	8.5000%	50.b.


		Dollar Amounts in Thousands	BHCA	Amount
Institutions must complete items 51 and 52 if the amount in item 50.a is less than or equal to the applicable
51.	Eligible retained income12.....................................................................................................................................................		H313	0	51.
52.	..................................................................................Distributions and discretionary bonus payments during the quarter13	H314	0	52.
			BHCA	Percentage
Supplementary Leverage Ratio
53.	Advanced approaches holding companies and holding companies subject to category III capital standards
	......................................................only: supplementary leverage ratio (From FFIEC 101 Schedule A, Table 2, item 2.23)	H036	5.5837%	53.

* Report each ratio and buffer as a percentage, rounded to four decimal places, e.g., 12.3456.

12. Institutions must complete item 51 only if the amount reported in item 50.a above is less than or equal to 2.5000 percent (plus any other

The Bank of New York Mellon Corporation	FR Y-9C
Legal Title of Bank	Page 55 of 73
RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-Weighted Assets

This schedule is to be submitted on a consolidated basis.

Holding companies (HC) are required to assign a 100 percent risk-weight to all assets not specifically assigned a risk-weight under Subpart D of the Federal Reserve's regulatory capital rules1 and not deducted from tier 1 or tier 2 capital.

(Column A)

(Column B)

(Column C)

(Column D)

(Column E)

(Column F)

(Column G)

(Column H)

(Column I)

(Column J)

Totals From

Adjustments

Schedule

to Totals

Allocation by Risk Weight Category

Reported in

Column A

10%

20%

50%

100%

150%

Dollar Amounts in Thousands

Amount

Balance Sheet Asset

Categories 2

Items 1 through 25, (columns A

through U as applicable) are to be

reported semiannually in June and

December by holding companies

with less than $5 billion

in total consolidated assets 3, 4

Cash and balances

due from depository

BHCK D957

BHCK S396

BHCK D958

BHCK D959

BHCK S397

BHCK D960

BHCK S398

institutions.........................................

174,624,000

147,404,000

20,450,000

4,428,000

1,785,000

557,000

Securities:

a. Held-to-maturity

BHCK D961

BHCK S399

BHCK D962

BHCK HJ74

BHCK HJ75

BHCK D963

BHCK D964

BHCK D965

BHCK S400

securities3,4...................................

36,982,000

7,591,000

29,378,000

13,000

2.a.

b. Available-for-sale debt

securities and equity securities

with readily determinable fair

BHCK JA21

BHCK S402

BHCK D967

BHCK HJ76

BHCK HJ77

BHCK D968

BHCK D969

BHCK D970

BHCK S403

values not held for trading

91,682,000

47,061,000

38,877,000

2,223,000

2,874,000

2,000

2.b.

3. Federal funds sold and

securities purchased under

agreements to resell:

a. Federal funds sold

BHCK D971

BHCK D972

BHCK D973

BHCK S410

BHCK D974

BHCK S411

(in domestic offices)..........................

3.a.

b. Securities purchased

under agreements to

BHCK H171

BHCK H172

resell.................................................

27,363,000

3.b.

For bank holding companies, 12 CFR Part 217 and 225; and for covered savings and loan holding companies, 12 CFR Part 217.
All securitization exposures held as on-balance sheet assets of the reporting institution are to be excluded from items 1 through 8 and are to be reported instead in item 9.
Institutions that have adopted ASU 2016-13 and have reported held-to-maturity securities net of allowances or credit losses in item 2.a, column A, should report as a negative number

in item 2.a, column B, those allowances for credit losses eligible for inclusion in tier 2 capital, which excludes allowances for credit losses on purchased credit-deteriorated assets.

12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 56 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column K)

(Column L)

(Column M)

(Column N)

(Column O)

(Column P)

(Column Q)

(Column R)

(Column S)

Application of Other Risk-

Allocation by Risk-Weight Category

Weighting Approaches4

Exposure

Risk-Weighted

250%

300%

400%

600%

625%

937.5%

1250%

Amount

Asset Amount

Dollar Amounts in Thousands

Amount

Balance Sheet Asset

Categories (continued)

Cash and balances

due from depository

institutions..........................................

Securities:

a. Held-to-maturity

securities.......................................

2.a.

b. Available-for-sale debt securities

and equity securities with

readily determinable fair values

BHCK H270

BHCK S405

BHCK S406

BHCK H271

BHCK H272

not held for trading………………..

645,000

307,000

2.b.

3. Federal funds sold and

securities purchased under

agreements to resell:

a. Federal funds sold

in domestic offices)........................

3.a.

b. Securities purchased

under agreements to

resell..............................................

3.b.

4. Includes, for example, investments in mutual funds/investment funds, exposures collateralized by securitization exposures or mutual funds, separate account bank-owned life insurance, and default fund contributions to central counterparties.

03/2020

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 57 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column A)

(Column B)

(Column C)

(Column D)

(Column E)

(Column F)

(Column G)

(Column H)

(Column I)

(Column J)

Totals From

Adjustments

Schedule

to Totals

Allocation by Risk-Weight Category

Reported in

10%

20%

50%

100%

150%

Column A

Dollar Amounts in Thousands

Amount

4. Loans and leases held for

sale:

a. Residential mortgage

BHCK S413

BHCK S414

BHCK H173

BHCK S415

BHCK S416

BHCK S417

exposures…………………

4.a.

b. High volatility

commercial real estate

BHCK S419

BHCK S420

BHCK H174

BHCK H175

BHCK H176

BHCK H177

BHCK S421

exposures..........................

4.b.

c. Exposures past due

90 days or more or

BHCK S423

BHCK S424

BHCK S425

BHCK HJ78

BHCK HJ79

BHCK S426

BHCK S427

BHCK S428

BHCK S429

on nonaccrual 5.................

4.c.

d. All other

BHCK S431

BHCK S432

BHCK S433

BHCK HJ80

BHCK HJ81

BHCK S434

BHCK S435

BHCK S436

BHCK S437

exposures.........................

4.d.

Loans and leases, held for

investment:6

a. Residential mortgage

BHCK S439

BHCK S440

BHCK H178

BHCK S441

BHCK S442

BHCK S443

exposures.........................

513,000

5.a.

b. High volatility

commercial real estate

BHCK S445

BHCK S446

BHCK H179

BHCK H180

BHCK H181

BHCK H182

BHCK S447

exposures.........................

1,000

5.b.

c. Exposures past due

90 days or more or on

BHCK S449

BHCK S450

BHCK S451

BHCK HJ82

BHCK HJ83

BHCK S452

BHCK S453

BHCK S454

BHCK S455

.......................nonaccrual7

38,000

5.c.

BHCK S457

BHCK S458

BHCK S459

BHCK HJ84

BHCK HJ85

BHCK S460

BHCK S461

BHCK S462

BHCK S463

d. All other exposures………

61,646,000

11,539,000

4,128,000

2,182,000

41,964,000

1,833,000

5.d.

6. LESS: Allowance for loan

BHCX 3123

BHCY 3123

..................and lease losses8

140,000

For loans and leases held for sale, exclude residential mortgage exposures, high volatility commercial real estate exposures, or sovereign exposures that are past due 90 days or more or on nonaccrual.
Institutions that have adopted ASU-2016-13 should report as a positive number in column B of items 5.a through 5.d, as appropriate, any allowances for credit losses on purchased credit-deteriorated assets reported in column A of items 5.a through 5.d, as appropriate.
For loans and leases held for investment, exclude residential mortgage exposures, high volatility commercial real estate exposures, or sovereign exposures that are past due 90 days or more or on nonaccrual.

8. Institutions that have adopted ASU 2016-13 should report the allowance for credit losses on loans and leases in item 6, columns A and B.

03/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 58 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column K)

(Column L)

(Column M)

(Column N)

(Column O)

(Column P)

(Column Q)

(Column R)

(Column S)

Application of Other Risk-

Allocation by Risk-Weight Category

Weighting Approaches 9

Exposure

Risk-Weighted

250%

300%

400%

600%

625%

937.5%

1250%

Amount

Asset Amount

Dollar Amounts in Thousands

Amount

4. Loans and leases held for

sale:

a. Residential mortgage

BHCK H273

BHCK H274

exposures.....................................

4.a.

b. High volatility

commercial real estate

BHCK H275

BHCK H276

exposures.....................................

4.b.

c. Exposures past due

90 days or more or

BHCK H277

BHCK H278

..............................on nonaccrual10

4.c.

d. All other

BHCK H279

BHCK H280

exposures..................................

4.d.

Loans and leases, held for

5. investment:

a. Residential mortgage

BHCK H281

BHCK H282

exposures.................................

5.a.

b. High volatility

commercial real estate

BHCK H283

BHCK H284

exposures.................................

5.b.

c. Exposures past due 90

days or more or on

BHCK H285

BHCK H286

..............................nonaccrual11

5.c.

BHCK H287

BHCK H288

d. All other exposures...................

5.d.

6. LESS: Allowance for loan

and lease losses...........................

Includes, for example, investments in mutual funds/investment funds, exposures collateralized by securitization exposures or mutual funds, separate account bank-owned life insurance, and default fund contributions to central counterparties.
For loans and leases, held for sale, exclude residential mortgage exposures, high volatility commercial real estate exposures, or sovereign exposures that are past due 90 days or more or on nonaccrual.
For loans and leases held for investment, exclude residential mortgage exposures, high volatility commercial real estate exposures, or sovereign exposures that are past due 90 days or more or

on nonaccrual.

03/2020

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 59 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column A)

(Column B)

(Column C)

(Column D)

(Column E)

(Column F)

(Column G)

(Column H)

(Column I)

(Column J)

Totals From

Adjustments

Schedule

to Totals

Allocation by Risk-Weight Category

Reported in

10%

20%

50%

100%

150%

Column A

Dollar Amounts in Thousands

Amount

BHCK D976

BHCK S466

BHCK D977

BHCK HJ86

BHCK HJ87

BHCK D978

BHCK D979

BHCK D980

BHCK S467

Trading assets...................

12,046,000

11,681,000

27,000

47,000

1,000

290,000

BHCK D981

BHCK S469

BHCK D982

BHCK HJ88

BHCK HJ89

BHCK D983

BHCK D984

BHCK D985

BHCK H185

All other assets12, 13, 14...........

52,910,000

25,881,000

1,101,000

456,000

187,000

18,108,000

86,000

a. Separate account

bank-owned life

insurance.......................

8.a.

b. Default fund

contributions to central

counterparties................

8.b.

Includes premises and fixed assets; other real estate owned; investments in unconsolidated subsidiaries and associated companies; direct and indirect investments in real estate ventures; intangible assets; and other assets.
Institutions that have adopted ASU 2016-13 and have elected to apply the CECL transition provision should report as a positive number in item 8, column B, the applicable portion of the DTA transitional amount.
Institutions that have adopted ASU 2016-13 and have reported any assets net of allowances for credit losses in item 8, column A, should report as a negative number in item 8,

column B, those allowances for credit losses eligible for inclusion in tier 2 capital, which excludes allowances for credit losses on purchased credit-deteriorated assets.

12/2019

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 60 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column K)

(Column L)

(Column M)

(Column N)

(Column O)

(Column P)

(Column Q)

(Column R)

(Column S)

Application of Other Risk-

Allocation by Risk-Weight Category

Weighting Approaches15

Exposure

Risk-Weighted

250%

300%

400%

600%

625%

937.5%

1250%

Amount

Asset Amount

Dollar Amounts in Thousands

Amount

BHCK H289

BHCK H186

BHCK H290

BHCK H187

BHCK H291

BHCK H292

Trading assets...............................

BHCK H293

BHCK H188

BHCK S470

BHCK S471

BHCK H294

BHCK H295

All other assets16………………….

593,000

23,000

50,000

574,000

a. Separate account

bank-owned life

BHCK H296

BHCK H297

insurance...................................

3,196,000

1,551,000

8.a.

b. Default fund

contributions to central

BHCK H298

BHCK H299

counterparties...........................

3,229,000

715,000

8.b.

Includes, for example, investments in mutual funds/investment funds, exposures collateralized by securitization exposures or mutual funds, separate account bank-owned life insurance, and default fund contributions to central counterparties.
Includes premises and fixed assets; other real estate owned; investments in unconsolidated subsidiaries and associated companies; direct and indirect investments in real estate ventures; intangible

assets; and other assets.

03/2020

The Bank of New York Mellon Corporation

FR Y-9C

Legal Title of Bank

Page 61 of 73

RSSD ID: 3587146

Schedule HC-R-Continued

Part II. Risk-WeightedAssets-Continued

(Column A)

(Column B)

(Column Q)

(Column T)

(Column U)

Totals

Adjustments

Allocation by

Total Risk-Weighted Asset

to Totals

Risk-Weight

Amount by Calculation

Reported in

Market Closed - Nyse Other stock markets 04:00:02 2024-04-22 pm EDT			5-day change	1st Jan Change
57.16 ^USD	+1.55%		+3.76%	+9.82%

03:01am	DIARY-Top Economic Events to June 27	RE
Apr. 22	Bank Of New York Mellon Insider Sold Shares Worth $2,967,362, According to a Recent SEC Filing	MT

Credit cards...................................................................................................

Automobile loans...........................................................................................

To be completed by holding companies with $5 billion or more in total assets.1					C000
	(Column A)	(Column B)	(Column C)	(Column D)	(Column E)	(Column F)	(Column G)
	1-4 Family	Home	Credit	Auto	Other	Commercial	All Other Loans,
	Residential	Equity	Card	Loans	Consumer	and Industrial	All Leases, and
	Loans	Lines	Receivables		Loans	Loans	All Other Assets
Dollar Amounts in Thousands	Amount	Amount	Amount	Amount	Amount	Amount	Amount
Securitization Activities
1. Outstanding principal balance of assets
sold and securitized with servicing retained
or with recourse or other seller-provided	BHCK B705	BHCK B706	BHCK B707	BHCK B708	BHCK B709	BHCK B710	BHCK B711
credit enhancements........................................	52,000	0	0	0	0	0	0	1.
2. Maximum amount of credit exposure
arising from recourse or other seller-
provided credit enhancements provided to	BHCK HU09	BHCK HU10	BHCK HU11	BHCK HU12	BHCK HU13	BHCK HU14	BHCK HU15
structures reported in item 1..……………..…..	0	0	0	0	0	0	0	2.
Item 3 is to be completed by holding companies
with $100 billion or more in total assets 1 .
3. Reporting institution's unused commitments
to provide liquidity to structures reported in	BHCK B726	BHCK B727	BHCK B728	BHCK B729	BHCK B730	BHCK B731	BHCK B732
item 1................................................................	0	0	0	0	0	0	0	3.
4. Past due loan amounts included in item 1:	BHCK B733	BHCK B734	BHCK B735	BHCK B736	BHCK B737	BHCK B738	BHCK B739
a. 30-89 days past due...................................	1,000	0	0	0	0	0	0	4.a.
	BHCK B740	BHCK B741	BHCK B742	BHCK B743	BHCK B744	BHCK B745	BHCK B746
b. 90 days or more past due……....................	0	0	0	0	0	0	0	4.b.
5. Charge-offs and recoveries on assets sold
and securitized with servicing retained or
with recourse or other seller-provided credit
enhancements (calendar year-to-date)
	BHCK B747	BHCK B748	BHCK B749	BHCK B750	BHCK B751	BHCK B752	BHCK B753
a. Charge-offs.................................................	0	0	0	0	0	0	0	5.a.
	BHCK B754	BHCK B755	BHCK B756	BHCK B757	BHCK B758	BHCK B759	BHCK B760
b. Recoveries..................................................	0	0	0	0	0	0	0	5.b.

(1)	Conduits sponsored by the bank, a bank affiliate, or the holding company2.................................................................................................................		B806	0	M.3.a.(1)
(2)	.....................................................................................................................................................Conduits sponsored by other unrelated institutions2		B807	0	M.3.a.(2)
b. Unused commitments to provide liquidity to conduit structures:
(1)	Conduits sponsored by the bank, a bank affiliate, or the holding company...................................................................................................................		B808	0	M.3.b.(1)
(2)	Conduits sponsored by other unrelated institutions......................................................................................................................................................	B809	0	M.3.b.(2)
......................................................................................4. Outstanding credit card fees and finance charges (included in Schedule HC-S, item 1, column G)2,3		C407	0	M.4.

DIARY-Top Economic Events to June 27	09:01pm	RE
Bank Of New York Mellon Insider Sold Shares Worth $2,967,362, According to a Recent SEC Filing	Apr. 22	MT
Zenith Energy Launches New Bond Exchange Offer	Apr. 22	MT
Wolfe Research Adjusts Bank of New York Mellon's Price Target to $66 From $65, Maintains Outperform Rating	Apr. 19	MT
Australian shares face worst week in 19 months on US rate cut woes, geopolitical concerns	Apr. 18	RE
Goldman Sachs Leads Multiple High-Grade Bond Sales	Apr. 18	MT
Jefferies & Co Adjusts Bank of New York Mellon Price Target to $68 From $67	Apr. 18	MT
DIARY-Top Economic Events to June 27	Apr. 17	RE
Bank of New York Mellon's Valuation Shows Disconnect Versus Franchise Potential, BofA Says	Apr. 17	MT
NY Fed report sees some distance to go on shrinking central bank holdings	Apr. 17	RE
BofA Securities Adjusts Price Target on Bank of New York Mellon to $66 From $64, Maintains Buy Rating	Apr. 17	MT
Commerzbank on Overnight News	Apr. 17	MT
DIARY-Top Economic Events to June 27	Apr. 16	RE
Sector Update: Financial Stocks Retreat Tuesday Afternoon	Apr. 16	MT
Fed's Williams: Unclear what rise of A.I. does for productivity	Apr. 16	RE
BANK OF NEW YORK MELLON SHARES REVERSE COURSE, LAST DOWN 2% AS C…	Apr. 16	RE
Top Midday Stories: UnitedHealth, Johnson & Johnson, Bank of America, Morgan Stanley, PNC, Bank of New York Mellon, Northern Trust and Ericsson Report Q1 Earnings; AMD Launches New Processors; Meta's Zuckerberg Wins Case Dismissal; Planet Fitness Names New CEO	Apr. 16	MT
The Bank of New York Mellon Corporation Reiterates Earnings Guidance for the Full Year 2024	Apr. 16	CI
Transcript : The Bank of New York Mellon Corporation, Q1 2024 Earnings Call, Apr 16, 2024	Apr. 16
Sector Update: Financial Stocks Advance Pre-Bell Tuesday	Apr. 16	MT
Northern Trust profit falls on hit from debt investment sale	Apr. 16	RE
Market sentiment sours	Apr. 16
Wall St set for higher open as upbeat earnings obscure Mideast jitters	Apr. 16	RE
Bank of New York Mellon's Q1 Adjusted Earnings, Revenue Rise	Apr. 16	MT
Stock Futures Decline Pre-Bell as Traders Await More Earnings; Asia, Europe Down	Apr. 16	MT

	1st Jan change	Capi.
BANK OF NEW YORK MELLON CORPORATION (THE)	+9.82%	42.75B
BLACKROCK, INC.	-6.37%	113B
UBS GROUP AG	-1.53%	89.35B
APOLLO GLOBAL MANAGEMENT, INC.	+15.50%	62.84B
BROOKFIELD CORPORATION	+2.13%	59.88B
AMERIPRISE FINANCIAL, INC.	+10.94%	42.22B
3I GROUP PLC	+17.76%	33.83B
T. ROWE PRICE GROUP INC.	+3.54%	24.94B
STATE STREET CORPORATION	-3.81%	22.47B
PRINCIPAL FINANCIAL GROUP, INC.	+3.41%	19.13B