SBSE-A/A 0001878049 XXXXXXXX false false 420990 Bank of New York Mellon / SBSD 13-5160382 420990 0001878049 240 GREENWICH STREET NEW YORK NY 10286 240 GREENWICH STREET NEW YORK NY 10286 212-815-3427 Rosemary Francavilla 212-815-4596 rosemary.francavilla@bny.com Alison Matthesen Higgins 201-394-3225 alison.higgins@bny.com Bank of New York Mellon / SBSD 420990 Y N N N Y Swap Dealer N The BNY Mellon Security-Based Swap Dealer currently engages in dealing within its Markets Line of Business, in order to provide counterparties with a means to hedge their risk and free up capital for other expenditures. Y The Federal Reserve Board The Federal Deposit Insurance Corporation N N Y Y Bank of New York Mellon / SBSD 420990 Y Y Y N N N 22 N Bank of New York Mellon / SBSD 420990 Robert Edward Lynch Head of a Business Unit, Division or Function 04/2020 11/2013 N 494793 002981333 Elizabeth Erin Robinson Director 02/2017 12/2016 N 453767 Alfred Warren Zollar Director 05/2019 05/2019 N 522369 Linda Zarda Cook Director 03/2017 02/2017 N 469982 Joseph James Echevarria Director 05/2015 02/2015 N 485375 Marguerite Amy Gilliland Director 05/2021 04/2021 N 539222 Jeffrey Alan Goldstein Director 05/2014 05/2014 N 365537 Kumara Guru Gowrappan Director 05/2021 04/2021 N 539299 Jason Dominick Vitale Head of a Business Unit, Division or Function 04/2020 03/2017 N 529504 005049351 Robin Antony Vince Chief Executive Officer 09/2022 10/2020 N 453798 002651916 Sandra Elizabeth OConnor Director 03/2022 02/2022 N 430690 Jason Sloan Granet Head of a Business Unit, Division or Function 12/2022 07/2021 N 552758 Dermot McDonogh Chief Financial Officer 03/2023 11/2022 N 501552 Alejandro Perez Head of a Business Unit, Division or Function 05/2023 06/2021 N 556063 Richard Gordon Head of a Business Unit, Division or Function 07/2023 06/2023 N 557314 Nehal Udeshi Managing Director 08/2023 01/2024 N 005194790 Rakefet Russak-Aminoach Director 07/2024 04/2024 N 563411 Tiffany Eng Head of a Business Unit, Division or Function 09/2024 09/2024 N 565801 Alison Matthesen Higgins Chief Compliance Officer 01/2025 01/2025 N 568353 Rajashree Datta Head of a Business Unit, Division or Function 06/2025 01/2025 N 571711 003245801 Charles F Lowrey Director 03/2026 02/2026 N 576977 002636964 Elizabeth Olaide Majiyagbe Head of a Business Unit, Division or Function 05/2026 05/2026 N 577913 007013772 Bank of New York Mellon / SBSD 420990 INITIAL BNYM is a New York state chartered Bank which houses the Investment Services businesses including Asset Servicing, Issuer Servicing, Treasury Services, Clearance and Collateral Management. The firm has $37.1 trillion in assets under custody and administration, and some $1.9 trillion in assets under management. BNY Mellon operates its investment Services which is 60 percent of its revenue and Investment Management which is 25 percent of its revenue along with Other Segment which is 15 percent of its revenue. Item 13A Smarsh Inc. 851 SW 6th Avenue Suite 800 Portland OR 97204 11-20-2020 BNY Mellon has had a relationship with Smarsh for over 10 years with various products. The Enterprise Archive contract was executed on November 20, 2020. Enterprise Archive is a secure, high-performance platform designed for organizations with demanding regulatory requirements handling large volumes of data. It provides a unified compliance and e-discovery workflow across our entire corpus of archived electronic communications. Item 13A NCC Group (formerly Iron Mountain) 24 Federal Street 2nd Floor Boston MA 02110 03-28-2023 NCC is providing designated third-party services for applicable books and records retention to comply with SEC Rule 17a-3, 17a-4, 18a-5, and 18a-6. Item 13A NICE Engage 221 River Street 10th Floor Hoboken NJ 07030 06-01-2006 Infrastructure and application used to record telephone calls for compliance and quality purposes. (Cisco and Avaya phones, Cisco Jabber). Item 13B Euroclear Bank 1 Boulevard du Roi Albert II Brussels C9 1210 09-01-2016 Euroclear Bank: Used to segregate margin for uncleared derivatives. Item 13B ClearStream 11 Westferry Circus Canary Wharf London X0 E14 4HE 09-01-2016 ClearStream: Used to segregate margin for uncleared derivatives. Item 13B JPMORGAN CHASE BANK, N.A. NEW YORK 4 Chase Metrotech Center 6th Floor Brooklyn NY 11245 09-01-2016 JP Morgan Chase Bank, N.A. New York: Used to segregate margin for uncleared derivatives. Item 14 Bank of New York Mellon Corporation 0291527 240 Greenwich Street New York NY 10286 01-07-2013 Bank of New York Mellon Corporation: The Bank of New York Mellon Corporation is the holding company for The Bank of New York Mellon. Bank of New York Mellon / SBSD 420990 05-27-2026 Bank of New York Mellon / SBSD Rosemary Francavilla Rosemary Francavilla Senior Vice President