Filing Details
- Accession Number:
- 0000073124-18-000266
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-08 18:29:28
- Reporting Period:
- 2018-08-08
- Accepted Time:
- 2018-08-08 18:29:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1614598 | Peter Cherecwich | 50 South Lasalle Street Chicago IL 60603 | President/C&Is | 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 | 2018-08-08 | 6,348 | $60.85 | 29,810 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-08-08 | 13,413 | $58.25 | 43,223 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-08 | 19,761 | $111.35 | 23,462 | 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 |
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 | 2018-08-08 | 6,348 | $0.00 | 6,348 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2018-08-08 | 13,413 | $0.00 | 13,413 | $58.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-02-10 | No | 4 | M | Direct | |
| 13,412 | 2026-02-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 13,490 | Indirect | By Trust |
| Common Stock | 9,840 | Indirect | 2018 GRAT |
Footnotes
- Includes 23,462 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- Reflects the March 8, 2018 transfer of 9,840 shares of the Corporation's common stock into a newly created grantor retained annuity trust.
- Reflects the May 7, 2018 transfer of 13,490 shares previously directly held by the reporting person into the a newly created trust account.
- Price reflects the weighted average sales price from $110.90 to $111.63. 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 2/10/2015.
- This option becomes exercisable in four equal annual installments beginning 2/16/2017.
Billionaire Hedge Funds
