Filing Details
- Accession Number:
- 0000073124-16-000516
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 19:39:00
- Reporting Period:
- 2016-11-11
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 19:39:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1378549 | N Stephen Potter | 50 South Lasalle Street Chicago IL 60603 | President / Asset Management | 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 | 2016-11-11 | 6,160 | $52.64 | 52,178 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-11 | 6,160 | $80.00 | 46,018 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-14 | 65,079 | $52.64 | 111,097 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-14 | 29,104 | $80.64 | 81,993 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-14 | 35,975 | $81.54 | 46,018 | 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 | 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 | 2016-11-11 | 6,160 | $0.00 | 6,160 | $52.64 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-14 | 65,079 | $0.00 | 65,079 | $52.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 65,079 | 2021-02-14 | No | 4 | M | Direct | |
| 0 | 2021-02-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 22,968 | Indirect | By Trust |
| Common Stock | 30,000 | Indirect | GRAT |
| Common Stock | 1,270 | Indirect | Spouse as Trustee for Son |
| Common Stock | 1,270 | Indirect | Spouse as Trustee for Daughter |
| Common Stock | 8,346 | Indirect | 401(k) as of 9-30-2016 |
Footnotes
- Includes 46,018 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 $80.00 to $80.01. 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 $80.21 to $80.96. 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 $81.02 to $81.99. 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 2/14/2012.
Billionaire Hedge Funds
