Filing Details
- Accession Number:
- 0000073124-18-000062
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-01 18:54:51
- Reporting Period:
- 2018-01-30
- Accepted Time:
- 2018-02-01 18:54:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1666823 | Wilson Leech | 50 South Lasalle Street Chicago IL 60603 | Evp/Chief Risk Officer | 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 | 2018-01-30 | 5,694 | $52.69 | 39,273 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-01-30 | 1,112 | $60.85 | 40,385 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-30 | 6,806 | $106.27 | 33,579 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-01-31 | 668 | $60.85 | 34,247 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-01-31 | 1,484 | $70.21 | 35,731 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-31 | 2,152 | $105.85 | 33,579 | 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 | M | 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) | Disposition | 2018-01-30 | 5,694 | $0.00 | 5,694 | $52.69 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2018-01-30 | 1,112 | $0.00 | 1,112 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2018-01-31 | 668 | $0.00 | 668 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2018-01-31 | 1,484 | $0.00 | 1,484 | $70.21 |
| 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 | |
| 1,261 | 2024-02-10 | No | 4 | M | Direct | |
| 593 | 2024-02-10 | No | 4 | M | Direct | |
| 1,484 | 2025-02-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 431 | Indirect | UK Employee Stock Ownership Plan as of 12-31-17 |
Footnotes
- Includes 12,461 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 $106.00 to $106.56. 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 $105.43 to $106.13. 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 2/11/2014.
- This option becomes exercisable in four equal annual installments beginning 2/10/2015.
- This option becomes exercisable in four equal annual installments beginning 2/17/2016.
Billionaire Hedge Funds
