Filing Details
- Accession Number:
- 0000073124-16-000421
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-05 19:13:37
- Reporting Period:
- 2016-08-03
- Filing Date:
- 2016-08-05
- Accepted Time:
- 2016-08-05 19:13:37
- 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 | 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 | 2016-08-03 | 90,270 | $57.54 | 280,884 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-03 | 90,270 | $66.97 | 190,614 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-04 | 20,000 | $66.72 | 170,614 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-04 | 20,046 | $43.65 | 190,660 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-04 | 20,046 | $66.71 | 170,614 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-05 | 40,247 | $63.36 | 210,861 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-05 | 40,247 | $68.86 | 170,614 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2016-08-03 | 90,270 | $0.00 | 90,270 | $57.54 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-08-04 | 20,046 | $0.00 | 20,046 | $43.65 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-08-05 | 40,247 | $0.00 | 40,247 | $63.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-07-21 | No | 4 | M | Direct | |
| 0 | 2022-02-13 | No | 4 | M | Direct | |
| 0 | 2017-02-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,200 | Indirect | By Spouse |
| Common Stock | 350 | Indirect | By Children |
| Common Stock | 2,554 | Indirect | 401(k) as of 6-30-16 |
Footnotes
- Includes 66,210 shares representing 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 $66.80 to $67.18. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Price reflects the weighted average sales price from $66.62 to $66.90. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Price reflects the weighted average sales price from $68.63 to $69.14. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- This option became exercisable in four equal annual installments beginning 7/21/2010.
- This option became exercisable in four equal annual installments beginning 2/13/2013.
- This option became exercisable in four equal annual installments beginning 2/20/2008.
Billionaire Hedge Funds
