Filing Details
- Accession Number:
- 0000073124-16-000496
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-09 20:23:08
- Reporting Period:
- 2016-11-07
- Filing Date:
- 2016-11-09
- Accepted Time:
- 2016-11-09 20:23:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1393081 | Joyce Clair St | 50 South Lasalle Street Chicago IL 60603 | Executive Vice 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 | 2016-11-07 | 48,180 | $57.54 | 81,140 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-07 | 48,180 | $73.07 | 32,960 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 25,000 | $71.23 | 57,960 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 22,216 | $57.54 | 80,176 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 47,216 | $75.58 | 32,960 | 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 | 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 | 2016-11-07 | 48,180 | $0.00 | 48,180 | $57.54 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-09 | 25,000 | $0.00 | 25,000 | $71.23 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-09 | 22,216 | $0.00 | 22,216 | $57.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,216 | 2019-07-21 | No | 4 | M | Direct | |
| 6,588 | 2018-02-19 | No | 4 | M | Direct | |
| 0 | 2019-07-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 15,519 | Indirect | By Trust |
| Common Stock | 13,215 | Indirect | 2015 GRAT |
| Common Stock | 16,840 | Indirect | 2016 GRAT |
| Common Stock | 5,117 | Indirect | 401(k) as of 9-30-16 |
Footnotes
- Includes 32,960 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.
- Price reflects the weighted average sales price from $73.00 to $73.32. 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 $75.00 to $76.00. 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 2/19/2009.
Billionaire Hedge Funds
