Filing Details
- Accession Number:
- 0000073124-19-000199
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-07-30 16:46:45
- Reporting Period:
- 2019-07-26
- Accepted Time:
- 2019-07-30 16:46:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1136778 | P Robert Browne | 50 S Lasalle St Chicago IL 60603 | Evp & Chief Investment 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 | Disposition | 2019-07-26 | 12,000 | $99.60 | 48,776 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-07-26 | 3,206 | $52.64 | 51,982 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-07-26 | 6,406 | $52.69 | 58,388 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-07-26 | 9,612 | $99.63 | 48,776 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-07-29 | 9,983 | $60.85 | 58,759 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-07-29 | 9,983 | $99.17 | 48,776 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2019-07-26 | 3,206 | $0.00 | 3,206 | $52.64 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-07-26 | 6,406 | $0.00 | 6,406 | $52.69 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-07-29 | 9,983 | $0.00 | 9,983 | $60.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,918 | 2021-02-14 | No | 4 | M | Direct | |
| 7,829 | 2023-02-11 | No | 4 | M | Direct | |
| 12,203 | 2024-02-10 | No | 4 | M | Direct |
Footnotes
- Price reflects the weighted average sales price from $99.51 to $99.75. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Includes 24,118 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 $99.60 to $99.71. 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 $99.16 to $99.21. 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.
- This option became exercisable in four equal annual installments beginning 2/10/2015.
Billionaire Hedge Funds
