Initial Statement of Beneficial Ownership (3)
September 15 2014 - 5:24PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Nguyen Thong M
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2. Date of Event Requiring Statement (MM/DD/YYYY)
9/4/2014
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3. Issuer Name
and
Ticker or Trading Symbol
BANK OF AMERICA CORP /DE/ [BAC]
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(Last)
(First)
(Middle)
100 N. TRYON STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Pres, Ret. Bnkg & Co-Hd CB /
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(Street)
CHARLOTTE, NC 28255
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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7520.0000
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D
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Common Stock
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274.7800
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I
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401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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2012 Restricted Stock Units
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(1)
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2/15/2015
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Common Stock
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24424.0000
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$0.0000
(2)
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D
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2013 Restricted Stock Units
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(3)
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2/15/2016
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Common Stock
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67058.0000
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$0.0000
(2)
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D
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2014 Restricted Stock Units
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(4)
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2/14/2017
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Common Stock
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81130.0000
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$0.0000
(2)
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D
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Option, Right to Buy
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(5)
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2/15/2018
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Common Stock
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10535.0000
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$42.7000
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D
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Option, Right to Buy
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(5)
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2/15/2016
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Common Stock
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33600.0000
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$44.3600
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D
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Option, Right to Buy
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(5)
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2/1/2015
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Common Stock
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37800.0000
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$46.6800
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D
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Option, Right to Buy
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(5)
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2/15/2017
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Common Stock
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35000.0000
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$53.8500
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D
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Explanation of Responses:
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(
1)
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These restricted stock units, which are exempt under Rule 16b-3(d), vest and pay in cash on February 15, 2015.
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(
2)
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Each restricted stock unit is the economic equivalent of one share of Bank of America Corporation common stock.
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(
3)
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These restricted stock units, which are exempt under Rule 16b-3(d), vest and pay in cash in two equal installments on February 15, 2015 and February 15, 2016.
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(
4)
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These restricted stock units, which are exempt under Rule 16b-3(d), vest and pay in cash in three equal annual installments commencing on February 14, 2015.
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(
5)
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These options, which are exempt under Rule 16b-3(d), are fully exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Nguyen Thong M
100 N. TRYON STREET
CHARLOTTE, NC 28255
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Pres, Ret. Bnkg & Co-Hd CB
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Signatures
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Thong M. Nguyen/Evelyn D. King
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9/15/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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