Filing Details
- Accession Number:
- 0000073124-16-000515
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 19:38:42
- Reporting Period:
- 2016-11-14
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 19:38:42
- 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 | Vice Chairman | 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 | 2016-11-14 | 35,764 | $52.69 | 177,520 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-14 | 53,832 | $81.36 | 123,688 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-14 | 1,932 | $82.01 | 121,756 | 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 |
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 | 2016-11-14 | 35,764 | $0.00 | 35,764 | $52.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,921 | 2023-02-11 | 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 9-30-16 |
Footnotes
- Includes 87,352 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 $81.06 to $81.98. 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 $82.00 to $82.07. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- This option becomes exercisable in four equal annual installments beginning 2/11/2014.
Billionaire Hedge Funds
