Filing Details
- Accession Number:
- 0000895813-14-000257
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-19 17:01:52
- Reporting Period:
- 2014-09-17
- Filing Date:
- 2014-09-19
- Accepted Time:
- 2014-09-19 17:01:52
- 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 | 2014-09-17 | 26,761 | $52.10 | 98,040 | No | 4 | M | Indirect | By Trust |
Common Stock | Disposition | 2014-09-17 | 23,147 | $70.03 | 74,893 | 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 | 2014-09-17 | 26,761 | $0.00 | 26,761 | $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 | 211,629 | Direct | |
Common Stock | 96,111 | Indirect | GRATs |
Common Stock | 120 | Direct | |
Common Stock | 8,710 | Indirect | By Spouse |
Common Stock | 32,814 | Indirect | 401(k) as of 6/30/2014 |
Footnotes
- The transaction was effected pursuant to a trading plan in accordance with SEC Rule 10b5-1.
- Price reflects the weighted average sales price from $70.00 to $70.06. 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.
- These options became exercisable in four equal annual installments beginning on 2/21/2007.