Home > Insider Trading > Filing (0000073124-16-000497)

Filing Details

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 South Lasalle Street Chicago IL 60603	Chairman, President 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	Disposition	2016-11-07	1,500	$0.00	72,342	No	5	G	Indirect	By Trust
Common Stock	Acquisiton	2016-11-07	70,808	$57.54	283,367	No	4	M	Direct
Common Stock	Acquisiton	2016-11-07	32,406	$71.23	315,773	No	4	M	Direct
Common Stock	Disposition	2016-11-07	103,214	$73.31	212,559	No	4	S	Direct
Common Stock	Acquisiton	2016-11-08	38,939	$71.23	251,498	No	4	M	Direct
Common Stock	Disposition	2016-11-08	38,939	$74.13	212,559	No	4	S	Direct
Common Stock	Acquisiton	2016-11-09	53,107	$71.23	265,666	No	4	M	Direct
Common Stock	Disposition	2016-11-09	100	$74.32	265,566	No	4	S	Direct
Common Stock	Disposition	2016-11-09	53,007	$75.20	212,559	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	G	Indirect	By Trust
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	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	70,808	$0.00	70,808	$57.54
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-07	32,406	$0.00	32,406	$71.23
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-08	38,939	$0.00	38,939	$71.23
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-09	53,107	$0.00	53,107	$71.23

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
200,000	2019-07-21	No	4	M	Direct
92,046	2018-02-19	No	4	M	Direct
53,107	2018-02-19	No	4	M	Direct
0	2018-02-19	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	17,241	Indirect	2014 GRAT
Common Stock	39,690	Indirect	2015 GRAT
Common Stock	34,188	Indirect	2016-1 GRAT
Common Stock	29,087	Indirect	2016-2 GRAT
Common Stock	8,710	Indirect	By Spouse
Common Stock	34,264	Indirect	401(k) as of 9-30-16

Footnotes

Includes 212,439 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 $74.00. 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 $74.00 to $74.43. 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 $74.85 to $75.71. 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.