Filing Details
- Accession Number:
- 0000073124-16-000524
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-16 18:38:24
- Reporting Period:
- 2016-11-15
- Filing Date:
- 2016-11-16
- Accepted Time:
- 2016-11-16 18:38:24
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Acquisiton | 2016-11-15 | 200,000 | $57.54 | 412,559 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-15 | 69,645 | $81.21 | 342,914 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-15 | 79,968 | $82.16 | 262,946 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-15 | 50,387 | $82.80 | 212,559 | 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 | |
| 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 | 2016-11-15 | 200,000 | $0.00 | 200,000 | $57.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-07-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 72,342 | Indirect | By Trust |
| 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.
- Price reflects the weighted average sales price from $80.68 to $81.67. 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 $81.68 to $82.674325. 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 $82.68 to $83.09. 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.
Billionaire Hedge Funds
