Filing Details
- Accession Number:
- 0000895813-14-000020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-04 17:30:19
- Reporting Period:
- 2014-01-31
- Filing Date:
- 2014-02-04
- Accepted Time:
- 2014-02-04 17:30:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1188084 | L William Morrison | 50 South Lasalle Street Chicago IL 60603 | President & Coo | 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 | 2014-01-31 | 64,788 | $44.47 | 127,196 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-31 | 64,788 | $60.47 | 62,408 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-02-03 | 1,800 | $44.47 | 64,208 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-03 | 1,800 | $60.30 | 62,408 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-02-04 | 8,412 | $44.47 | 70,820 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-04 | 8,412 | $59.78 | 62,408 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
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 | 2014-01-31 | 64,788 | $0.00 | 64,788 | $44.47 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2014-02-03 | 1,800 | $0.00 | 1,800 | $44.47 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2014-02-04 | 8,412 | $0.00 | 8,412 | $44.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,212 | 2005-03-31 | 2015-02-15 | No | 4 | M | Direct |
| 8,412 | 2005-03-31 | 2015-02-15 | No | 4 | M | Direct |
| 0 | 2005-03-31 | 2025-02-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 77,763 | Direct | |
| Common Stock | 203 | Indirect | By Son |
| Common Stock | 1,200 | Indirect | By Spouse |
| Common Stock | 148 | Indirect | By Son |
| Common Stock | 2,546 | Indirect | 401(k) as of 12/31/13 |
Footnotes
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- Price reflects the weighted average sales price from $60.25 to $60.77. Information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- Price reflects the weighted average sales price from $60.29 to $60.30. Information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- Price reflects the weighted average sales price from $59.59 to $59.92. Information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
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