Filing Details
- Accession Number:
- 0000073124-15-000141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-24 18:29:54
- Reporting Period:
- 2015-02-02
- Filing Date:
- 2015-04-24
- Accepted Time:
- 2015-04-24 18:29:54
- 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 South Lasalle Street Chicago IL 60603 | President/Wealth Management | 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 | Disposition | 2015-02-02 | 540 | $66.62 | 9,427 | No | 4 | S | Indirect | 401(k) |
| Common Stock | Acquisiton | 2015-04-22 | 20,123 | $63.36 | 63,839 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-22 | 20,123 | $72.95 | 43,716 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | 401(k) |
| 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 | 2015-04-22 | 20,123 | $0.00 | 20,123 | $63.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,124 | 2017-02-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 94,591 | Indirect | By Trust |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Daughter |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Son |
Footnotes
- Reflects shares as of 3/31/2015.
- Includes 43,716 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
- This option became exercisable in four equal annual installments beginning 2/20/2008.
Billionaire Hedge Funds
