Filing Details
- Accession Number:
- 0000895813-14-000018
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-27 19:47:27
- Reporting Period:
- 2014-01-24
- Filing Date:
- 2014-01-27
- Accepted Time:
- 2014-01-27 19:47:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1223690 | H Frederick Waddell | 50 S. Lasalle Street Chicago IL 60603 | Chairman And Ceo | Yes | 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 | 2014-01-24 | 75,000 | $44.47 | 136,744 | No | 4 | M | Indirect | By Trust |
| Common Stock | Disposition | 2014-01-24 | 75,000 | $61.66 | 69,976 | 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 | 2014-01-24 | 75,000 | $0.00 | 75,000 | $44.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-03-31 | 2015-02-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 62,611 | Indirect | GRAT |
| Common Stock | 256,621 | Direct | |
| Common Stock | 120 | Direct | |
| Common Stock | 8,710 | Indirect | By Spouse |
| Common Stock | 32,501 | Indirect | 401(k) as of 12/31/2013 |
Footnotes
- Price reflects the weighted average sales price from $61.50 to $62.18. Information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- On January 24, 2014, a distribution of 8,232 shares of the Corporation's common stock was made from one of two beneficially owned grantor retained annuity trusts into the reporting person's personal trust.
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
Billionaire Hedge Funds
