Filing Details
- Accession Number:
- 0000073124-21-000203
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-13 18:03:29
- Reporting Period:
- 2021-05-11
- Accepted Time:
- 2021-05-13 18:03:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1214324 | L Steven Fradkin | 50 South La Salle St Chicago IL 60603 | President/Wealth Management | 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 | 2021-05-11 | 12,325 | $60.85 | 53,666 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-05-11 | 23,739 | $70.21 | 77,405 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-11 | 33,653 | $118.63 | 43,752 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-05-11 | 2,411 | $119.24 | 41,341 | 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 | 2021-05-11 | 12,325 | $0.00 | 12,325 | $60.85 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2021-05-11 | 23,739 | $0.00 | 23,739 | $70.21 |
| 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 | 2025-02-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 56,435 | Indirect | By Trust |
| Common Stock | 34,422 | Indirect | Gift Trust |
| Common Stock | 75,000 | Indirect | 2020 GRAT |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Daughter |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Son |
| Common Stock | 10,828 | Indirect | 401(k) as of 3-31-2021 |
Footnotes
- Includes 41,341 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 $118.12 to $119.11. 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 $119.12 to $119.55. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Reflects a November 29, 2017 purchase of 12 shares and a January 7, 2021 sale of 2 shares by the reporting person's trust, each previously unreported and each conducted at the discretion of a broker without the knowledge or direction of the Reporting Person.
- The reporting person's spouse is trustee of this trust.
- This option became exercisable in four equal annual installments beginning on February 10, 2015.
- This option became exercisable in four equal annual installments beginning on February 17, 2016.
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