UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2017 Restricted Stock Units | (1) | (1) | Common Stock | 101,364 | $ (2) | D | |
Phantom Stock Units | (3) | (3) | Common Stock | 5,398 | $ (4) | D | |
2018 Restricted Stock Units | (5) | (5) | Common Stock | 126,727 | $ (2) | D | |
Phantom Stock Units | (6) | (6) | Common Stock | 7,158 | $ (4) | D | |
2019 Restricted Stock Units | (7) | (7) | Common Stock | 148,817 | $ (2) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 150,000 | $ (2) | D | |
2020 Restricted Stock Units | (9) | (9) | Common Stock | 124,830 | $ (2) | D | |
Restricted Stock Units | (10) | (10) | Common Stock | 50,000 | $ (2) | D | |
Phantom Stock Units | (11) | (11) | Common Stock | 100,000 | $ (4) | D | |
Restricted Stock Units | (12) | (12) | Common Stock | 82,176 | $ (2) | D | |
2021 Restricted Stock Units | (13) | (13) | Common Stock | 70,952 | $ (2) | D | |
Cash Settled Restricted Stock Units | (14) | 02/15/2022 | Common Stock | 20,529 | $ (15) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mensah Bernard A 100 NORTH TRYON STREET CHARLOTTE, NC 28255 |
President, International |
Bernard A. Mensah / Michael P. Lapp POA | 10/29/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2020. The net amount of each installment after any applicable tax withholding is subject to an additional six-month holding period after vesting. |
(2) | Each unit represents a contingent right to receive one share of Bank of America Corporation common stock. |
(3) | The reporting person was previously granted phantom units, vesting in five equal annual installments commencing on March 1, 2020. The net amount of each installment after any applicable tax withholding is subject to an additional six-month holding period after vesting. |
(4) | Each phantom stock unit is the economic equivalent of one share of Bank of America Corporation common stock. |
(5) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2021. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(6) | The reporting person was previously granted phantom units, vesting in five equal annual installments commencing on March 1, 2021. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(7) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2022. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(8) | The reporting person was previously granted units, with 40% vesting on February 15, 2022 and the remaining 60% vesting in five equal annual installments commencing on February 15, 2024. The net amount of each of the five installments after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(9) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2023. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(10) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2024. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(11) | The reporting person was previously granted phantom units, with 40% vesting on February 15, 2023 and the remaining 60% vesting in five equal annual installments commencing on February 15, 2025. The net amount of each of the five installments after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(12) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2024. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(13) | The reporting person was previously granted units, vesting in five equal annual installments commencing on February 15, 2024. The net amount of each installment after any applicable tax withholding is subject to an additional twelve-month holding period after vesting. |
(14) | The reporting person was previously granted units, earned and payable upon grant and to be settled in one installment on February 15, 2022. |
(15) | Each unit is the economic equivalent of one share of Bank of America Corporation common stock. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |