Filing Details
- Accession Number:
- 0000895813-14-000160
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-19 17:20:45
- Reporting Period:
- 2014-06-17
- Filing Date:
- 2014-06-19
- Accepted Time:
- 2014-06-19 17:20:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1514798 | D. Jeffrey Cohodes | 50 South Lasalle Street Chicago IL 60603 | Executivevp/Chief Risk Officer | 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 | 2014-06-17 | 4,954 | $52.10 | 23,987 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-06-17 | 4,954 | $63.74 | 19,033 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-06-17 | 4,000 | $52.10 | 23,033 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-06-17 | 4,000 | $64.74 | 19,033 | 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 |
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 | 2014-06-17 | 4,954 | $0.00 | 4,954 | $52.10 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2014-06-17 | 4,000 | $0.00 | 4,000 | $52.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,000 | 2016-02-21 | No | 4 | M | Direct | |
| 4,000 | 2016-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 23,155 | Direct | |
| Common Stock | 3,814 | Indirect | 401(k) as of 3-31-2014 |
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.
- These options became exercisable in four annual installments beginning on 2/21/2007.
Billionaire Hedge Funds
