Filing Details
- Accession Number:
- 0000895813-14-000012
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-10 10:36:08
- Reporting Period:
- 2014-01-08
- Filing Date:
- 2014-01-10
- Accepted Time:
- 2014-01-10 10:36:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1378549 | N Stephen Potter | 50 South La Salle Street Chicago IL 60603 | President Ntgi | 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 | 2014-01-08 | 23,030 | $52.10 | 55,941 | No | 4 | M | Indirect | By Trust |
| Common Stock | Disposition | 2014-01-08 | 23,030 | $62.00 | 32,911 | 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 |
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 | 2014-01-08 | 23,030 | $0.00 | 23,030 | $52.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 59,320 | Direct | |
| Common Stock | 1,270 | Indirect | Spouse as Trustee for Son |
| Common Stock | 1,270 | Indirect | Spouse as Trustee for Daughter |
| Common Stock | 8,335 | Indirect | 401(k) as of 12-31-2013 |
Footnotes
- This transaction was effected pursuant to a trading 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.
- 2/21/2007 as to 4,895 options; 2/21/2008 as of 6,045 options; 2/21/2009 as to 6,045 options; and 2/21/2010 as to 6,045 options.
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