Filing Details
- Accession Number:
- 0000073124-17-000298
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-10-20 16:37:53
- Reporting Period:
- 2017-10-18
- Accepted Time:
- 2017-10-20 16:37:53
- 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 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 | 2017-10-18 | 127,964 | $52.64 | 329,483 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-10-18 | 50,000 | $52.69 | 379,483 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-10-18 | 141,720 | $95.52 | 237,763 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-10-18 | 36,244 | $96.10 | 201,519 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2017-10-18 | 127,964 | $0.00 | 127,964 | $52.64 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2017-10-18 | 50,000 | $0.00 | 50,000 | $52.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-02-14 | No | 4 | M | Direct | |
| 44,658 | 2023-02-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 68,570 | Indirect | By Trust |
| Common Stock | 25,014 | Indirect | 2015 GRAT |
| Common Stock | 28,124 | Indirect | 2016-1 GRAT |
| Common Stock | 29,087 | Indirect | 2016-2 GRAT |
| Common Stock | 35,160 | Indirect | 2017-1 GRAT |
| Common Stock | 23,000 | Indirect | 2017-2 GRAT |
| Common Stock | 15,506 | Indirect | By Spouse |
| Common Stock | 34,760 | Indirect | 401(k) as of 9-30-2017 |
Footnotes
- Includes 201,399 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 $95.03 to $96.02. 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 $96.03 to $96.29. 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.
- This option became exercisable in four equal annual installments beginning 2/11/2014.
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