Filing Details
- Accession Number:
- 0000073124-18-000146
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-27 19:00:32
- Reporting Period:
- 2018-02-27
- Accepted Time:
- 2018-02-27 19:00:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1188084 | L William Morrison | 50 South Lasalle Street Chicago IL 60603 | Vice Chairman | 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 | 2018-02-27 | 19,228 | $70.21 | 78,797 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-02-27 | 26,825 | $58.25 | 105,622 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-27 | 39,560 | $109.09 | 66,062 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-02-27 | 6,493 | $109.74 | 59,569 | 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 | 2018-02-27 | 19,228 | $0.00 | 19,228 | $70.21 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2018-02-27 | 26,825 | $0.00 | 26,825 | $58.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,703 | 2025-02-17 | No | 4 | M | Direct | |
| 26,824 | 2026-02-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,200 | Indirect | By Spouse |
| Common Stock | 350 | Indirect | By Children |
| Common Stock | 2,545 | Indirect | 401(k) as of 12-31-17 |
Footnotes
- Includes 49,235 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 $108.46 to $109.45. 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 $109.51 to $109.88. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- This option becomes exercisable in four equal annual installments beginning 2/17/2016.
- This option becomes exercisable in four equal annual installments beginning 2/16/2017.
Billionaire Hedge Funds
