Filing Details
- Accession Number:
- 0000073124-16-000489
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-04 18:33:01
- Reporting Period:
- 2016-11-02
- Filing Date:
- 2016-11-04
- Accepted Time:
- 2016-11-04 18:33:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1618993 | Gillian Susan Pembleton | 50 South Lasalle Street Chicago IL 60603 | Evp, Human Resources | 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 | 2016-11-02 | 2,143 | $71.23 | 25,358 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-02 | 2,709 | $55.39 | 28,067 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-02 | 5,216 | $50.99 | 33,283 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-02 | 4,275 | $52.64 | 37,558 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-02 | 1,231 | $43.65 | 38,789 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-02 | 15,574 | $72.04 | 23,215 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2016-11-02 | 2,143 | $0.00 | 2,143 | $71.23 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-02 | 2,709 | $0.00 | 2,709 | $55.39 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-02 | 5,216 | $0.00 | 5,216 | $50.99 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-02 | 4,275 | $0.00 | 4,275 | $52.64 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-02 | 1,231 | $0.00 | 1,231 | $43.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-02-19 | No | 4 | M | Direct | |
| 0 | 2019-02-16 | No | 4 | M | Direct | |
| 0 | 2020-02-15 | No | 4 | M | Direct | |
| 0 | 2021-02-14 | No | 4 | M | Direct | |
| 0 | 2022-02-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,909 | Indirect | UK Employee Share Ownership Plan as of 9/30/2016 |
Footnotes
- Includes 16,118 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 $71.65 to $72.22. 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 2/19/2009.
- This option became exercisable in four equal annual installments beginning 2/16/2010.
- This option became exercisable in four equal annual installments beginning 2/15/2011.
- This option became exercisable in four equal annual installments beginning 2/14/2012.
- This option became exercisable in four equal annual installments beginning 2/13/2013.
Billionaire Hedge Funds
