Filing Details
- Accession Number:
- 0000895813-13-000048
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-02-13 17:18:57
- Reporting Period:
- 2013-02-11
- Filing Date:
- 2013-02-13
- Accepted Time:
- 2013-02-13 17:18:57
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
73124 | Northern Trust Corp | NTRS | State Commercial Banks (6022) | 362723087 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1393081 | Joyce Clair St | 50 South Lasalle Street Chicago IL 60603 | President/O & T | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-02-11 | 9,490 | $0.00 | 51,175 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2013-02-12 | 5,000 | $49.12 | 26,414 | No | 4 | M | Indirect | By Trust |
Common Stock | Disposition | 2013-02-12 | 5,000 | $53.00 | 21,414 | No | 4 | S | Indirect | By Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | M | Indirect | By Trust |
No | 4 | S | Indirect | By Trust |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right-to-buy) | Acquisiton | 2013-02-11 | 28,469 | $0.00 | 28,469 | $52.69 |
Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2013-02-12 | 5,000 | $0.00 | 5,000 | $49.12 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
28,469 | 2023-02-11 | No | 4 | A | Direct | |
10,000 | 2014-02-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 5,115 | Indirect | 401(k) |
Footnotes
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock
- This option exercise was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
- This sale was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
- as of 12-31-2012
- The option becomes exercisable in four annual installments: 7,118 on February 11, 2014; 7,117 on February 11, 2015; 7,117 on February 11, 2016; and 7,117 on February 11, 2017.
- This option became exercisable in four annual installments beginning 2/17/2005.