Filing Details
- Accession Number:
- 0000895813-14-000102
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-11 14:08:23
- Reporting Period:
- 2014-03-07
- Filing Date:
- 2014-03-11
- Accepted Time:
- 2014-03-11 14:08:23
- 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 | 2014-03-07 | 28,786 | $52.10 | 107,504 | No | 4 | M | Indirect | By Trust |
| Common Stock | Disposition | 2014-03-07 | 28,786 | $64.00 | 78,718 | 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 | 2014-03-07 | 28,786 | $0.00 | 28,786 | $52.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-02-21 | 2016-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 48,467 | Direct | |
| Common Stock | 984 | Indirect | Spouse as trustee for Daughter |
| Common Stock | 984 | Indirect | Spouse as trustee for Son |
| Common Stock | 9,733 | 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.
- Price reflects the weighted average sales price from $63.95 to $64.19. Information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
Billionaire Hedge Funds
