Filing Details
- Accession Number:
- 0000895813-13-000175
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-17 19:46:20
- Reporting Period:
- 2013-05-17
- Filing Date:
- 2013-05-17
- Accepted Time:
- 2013-05-17 19:46:20
- 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 |
---|---|---|---|---|---|---|---|
1214324 | L Steven Fradkin | 50 S. La Salle Street Chicago IL 60603 | President/C&Is | 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 | 2013-05-17 | 33,334 | $49.12 | 99,154 | No | 4 | M | Indirect | By Trust |
Common Stock | Disposition | 2013-05-17 | 33,334 | $57.71 | 65,820 | No | 4 | S | Indirect | By Trust |
Common Stock | Acquisiton | 2013-05-17 | 27,500 | $44.47 | 93,320 | No | 4 | M | Indirect | By Trust |
Common Stock | Disposition | 2013-05-17 | 27,500 | $57.71 | 65,820 | No | 4 | S | Indirect | By Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | By Trust |
No | 4 | S | Indirect | By Trust |
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) | Disposition | 2013-05-17 | 33,334 | $0.00 | 33,334 | $49.12 |
Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2013-05-17 | 27,500 | $0.00 | 27,500 | $44.47 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2014-02-17 | No | 4 | M | Direct | |
27,500 | 2005-03-31 | 2015-02-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 62,250 | Direct | |
Common Stock | 540 | Indirect | Spouse as trustee for Daughter |
Common Stock | 540 | Indirect | Spouse as trustee for Son |
Common Stock | 9,543 | Indirect | 401(k) |
Footnotes
- This option was exercised 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.
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- as of 03/31/2013
- The option became exercisable in four equal annual installments beginning February 17, 2005