401k Plan data: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP plan

THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 401k Plan overview

Plan Name	THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP
Plan identification number	009

THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Stock bonus
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

THE BANK OF NEW YORK MELLON CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: THE BANK OF NEW YORK MELLON CORPORATION

Employer identification number (EIN): 132614959

NAIC Classification: 523900

Additional information about THE BANK OF NEW YORK MELLON CORPORATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4299124

More information about THE BANK OF NEW YORK MELLON CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
009 2011-01-01 ROBERT PEREGO
009 2009-01-01 ROBERT PEREGO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
009	2011-01-01	ROBERT PEREGO
009	2009-01-01	ROBERT PEREGO

Plan Statistics for THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP

401k plan membership statisitcs for THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP

Measure Date Value
2011: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3,992
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 93
2009: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2009 401k membership
Total participants, beginning-of-year 2009-01-01 3,749
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3,024
Number of retired or separated participants receiving benefits 2009-01-01 6
Number of other retired or separated participants entitled to future benefits 2009-01-01 822
Total of all active and inactive participants 2009-01-01 3,852
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 5
Total participants 2009-01-01 3,857
Number of participants with account balances 2009-01-01 3,788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 115

Measure	Date	Value
2011: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3,992
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	93
2009: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2009 401k membership
Total participants, beginning-of-year	2009-01-01	3,749
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3,024
Number of retired or separated participants receiving benefits	2009-01-01	6
Number of other retired or separated participants entitled to future benefits	2009-01-01	822
Total of all active and inactive participants	2009-01-01	3,852
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	5
Total participants	2009-01-01	3,857
Number of participants with account balances	2009-01-01	3,788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	115

Financial Data on THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP

Measure	Date	Value
2011 : THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-519
Total unrealized appreciation/depreciation of assets	2011-12-31	$-519
Total transfer of assets from this plan	2011-12-31	$453,063,672
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$29,968,763
Total loss/gain on sale of assets	2011-12-31	$-2,761,725
Total of all expenses incurred	2011-12-31	$35,357,365
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$35,280,368
Value of total corrective distributions	2011-12-31	$6,569
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$36,178,395
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$458,452,274
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$70,428
Total interest from all sources	2011-12-31	$421,392
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$12,480,650
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$12,345,203
Administrative expenses professional fees incurred	2011-12-31	$70,428
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$150,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$23,105,418
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$11,480,956
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$2,326,100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-5,388,602
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$458,452,274
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$340,444,727
Interest on participant loans	2011-12-31	$420,908
Value of interest in common/collective trusts at end of year	2011-12-31	$0
Value of interest in common/collective trusts at beginning of year	2011-12-31	$83,871,694
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$484
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-20,353,700
Net investment gain or loss from common/collective trusts	2011-12-31	$4,004,270
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$7,952,652
Contributions received in cash from employer	2011-12-31	$10,746,877
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$14,702,245
Income. Dividends from common stock	2011-12-31	$135,447
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$35,280,368
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	Yes
Did the plan have assets held for investment	2011-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	Yes
Aggregate proceeds on sale of assets	2011-12-31	$1,121,331
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$3,883,056
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	KPMG, LLP
Accountancy firm EIN	2011-12-31	135565207
2010 : THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$572,700
Total unrealized appreciation/depreciation of assets	2010-12-31	$572,700
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$89,754,100
Total loss/gain on sale of assets	2010-12-31	$-47,333
Total of all expenses incurred	2010-12-31	$17,731,017
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$17,673,292
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$40,882,949
Value of total assets at end of year	2010-12-31	$458,452,274
Value of total assets at beginning of year	2010-12-31	$386,429,191
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$57,725
Total interest from all sources	2010-12-31	$458,212
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$10,011,698
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$9,931,168
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$150,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$24,102,856
Participant contributions at end of year	2010-12-31	$11,480,956
Participant contributions at beginning of year	2010-12-31	$9,928,917
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$2,077,848
Administrative expenses (other) incurred	2010-12-31	$57,725
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$72,023,083
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$458,452,274
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$386,429,191
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$340,444,727
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$277,513,113
Interest on participant loans	2010-12-31	$457,590
Value of interest in common/collective trusts at end of year	2010-12-31	$83,871,694
Value of interest in common/collective trusts at beginning of year	2010-12-31	$78,756,625
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$622
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$36,789,090
Net investment gain or loss from common/collective trusts	2010-12-31	$1,086,784
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$7,952,652
Assets. Invements in employer securities at beginning of year	2010-12-31	$6,130,111
Contributions received in cash from employer	2010-12-31	$14,702,245
Employer contributions (assets) at end of year	2010-12-31	$14,702,245
Employer contributions (assets) at beginning of year	2010-12-31	$14,100,425
Income. Dividends from common stock	2010-12-31	$80,530
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$17,673,292
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$4,496,096
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$4,543,429
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	KPMG, LLP
Accountancy firm EIN	2010-12-31	135565207

Form 5500 Responses for THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP

2011: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	Yes
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: THE RETIREMENT SAVINGS PLAN OF BNY SECURITIES GROUP 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE BANK OF NEW YORK MELLON CORPORATION
Employer identification number (EIN):	132614959
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4299124