Filing Details
- Accession Number:
- 0000073124-20-000254
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-13 17:48:54
- Reporting Period:
- 2020-11-11
- Accepted Time:
- 2020-11-13 17:48:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1393081 | Joyce Clair St | 50 South La Salle St Chicago IL 60603 | Executive Vice President | 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 | 2020-11-11 | 6,162 | $60.85 | 24,003 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-11-11 | 22,992 | $58.25 | 46,995 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-11 | 29,154 | $90.05 | 17,841 | 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 | 2020-11-11 | 6,162 | $0.00 | 6,162 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2020-11-11 | 22,992 | $0.00 | 22,992 | $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 | |
| 0 | 2026-02-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 38,774 | Indirect | By Trust |
| Common Stock | 6,568 | Indirect | 2019 GRAT |
| Common Stock | 14,888 | Indirect | 2020 GRAT |
| Common Stock | 5,117 | Indirect | 401(k) as of 9-30-2020 |
Footnotes
- Includes 17,841 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 $90.00 to $90.34. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Reflects the March 4, 2020 transfer of 14,888 shares of the Corporation's common stock into a newly created grantor retained annuity trust.
- Reflects the August 21, 2020 distribution of 5,916 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.
- This option became exercisable in four equal annual installments beginning February 10, 2015.
- This option became exercisable in four equal annual installments beginning February 16, 2017.
Billionaire Hedge Funds
