Filing Details
- Accession Number:
- 0000073124-17-000318
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-30 19:07:18
- Reporting Period:
- 2017-11-29
- Accepted Time:
- 2017-11-30 19:07:18
- 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 | 2017-11-29 | 44,658 | $52.69 | 246,177 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-29 | 33,080 | $97.73 | 213,097 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-11-29 | 11,578 | $98.58 | 201,519 | 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 | 2017-11-29 | 44,658 | $0.00 | 44,658 | $52.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 71,900 | 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 | 17,339 | Indirect | 2017-2 GRAT |
| Common Stock | 13,785 | 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 $97.17 to $98.16. 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 $98.17 to $98.96. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Reflects the October 26, 2017 distribution of 5,661 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.
- This option became exercisable in four equal annual installments beginning 2/11/2014.
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