Filing Details
- Accession Number:
- 0000073124-19-000239
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-29 19:56:45
- Reporting Period:
- 2019-10-25
- Accepted Time:
- 2019-10-29 19:56:45
- 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 | Acquisiton | 2019-10-25 | 3,562 | $52.64 | 36,425 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-10-25 | 7,118 | $52.69 | 43,543 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-10-25 | 10,680 | $101.56 | 32,863 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-10-28 | 11,093 | $60.85 | 43,956 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-10-28 | 11,870 | $70.21 | 55,826 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-10-28 | 22,963 | $102.06 | 32,863 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-10-29 | 12,359 | $58.25 | 45,222 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-10-29 | 6,453 | $88.06 | 51,675 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-10-29 | 18,812 | $102.96 | 32,863 | 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 | |
| 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 | 2019-10-25 | 3,562 | $0.00 | 3,562 | $52.64 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-10-25 | 7,118 | $0.00 | 7,118 | $52.69 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-10-28 | 11,093 | $0.00 | 11,093 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-10-28 | 11,870 | $0.00 | 11,870 | $70.21 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-10-29 | 12,359 | $0.00 | 12,359 | $58.25 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2019-10-29 | 6,453 | $0.00 | 6,453 | $88.06 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 356 | 2021-02-14 | No | 4 | M | Direct | |
| 711 | 2023-02-11 | No | 4 | M | Direct | |
| 1,110 | 2024-02-10 | No | 4 | M | Direct | |
| 11,869 | 2025-02-17 | No | 4 | M | Direct | |
| 20,597 | 2026-02-16 | No | 4 | M | Direct | |
| 19,356 | 2027-02-21 | No | 4 | M | Direct |
Footnotes
- Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- Reflects the 9/14/2019 transfer of 15,913 shares of Common Stock to the reporting person's former spouse pursuant to a domestic relations order.
- Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse.
- Price reflects the weighted average sales price from $101.49 to $101.67. 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 $101.96 to $102.24. 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 $102.87 to $103.17. 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.
- This option became exercisable in four equal annual installments beginning 2/17/2016.
- This option becomes exercisable in four equal annual installments beginning 2/16/2017.
- This option becomes exercisable in four equal annual installments beginning 2/21/2018.
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