Filing Details

Accession Number:
0000073124-17-000100
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-23 19:14:11
Reporting Period:
2017-02-21
Filing Date:
2017-02-23
Accepted Time:
2017-02-23 19:14:11
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
1214324 L Steven Fradkin
50 South Lasalle Street
Chicago IL 60603
President/Wealth 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 2017-02-21 6,133 $0.00 45,907 No 4 A Direct
Common Stock Acquisiton 2017-02-22 21,059 $71.23 66,966 No 4 M Direct
Common Stock Disposition 2017-02-21 21,059 $87.62 45,907 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A 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) Acquisiton 2017-02-21 27,874 $0.00 27,874 $88.06
Common Stock Employee Stock Option (right-to-buy) Disposition 2017-02-22 21,059 $0.00 21,059 $71.23
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
27,874 2027-02-21 No 4 A Direct
0 2018-02-19 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 110,657 Indirect By Trust
Common Stock 14,700 Indirect GRAT
Common Stock 1,762 Indirect Spouse as trustee for Son
Common Stock 1,762 Indirect Spouse as trustee for Daughter
Common Stock 9,746 Indirect 401(k) as of 12-31-16
Footnotes
  1. Includes 45,907 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
  2. Price reflects the weighted average sales price from $87.46 to $87.835. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
  3. This option becomes exercisable in four equal annual installments beginning 2/21/2018.
  4. This option became exercisable in four equal annual installments beginning 2/19/2009.