Filing Details

Accession Number:
0000895813-13-000052
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-02-13 17:31:52
Reporting Period:
2013-02-11
Filing Date:
2013-02-13
Accepted Time:
2013-02-13 17:31:52
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
1223690 H Frederick Waddell 50 S. Lasalle Street
Chicago IL 60603
Chairman And Ceo Yes 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 2013-02-11 31,553 $0.00 291,900 No 4 A Direct
Common Stock Acquisiton 2013-02-12 30,000 $49.12 66,629 No 4 M Indirect By Trust
Common Stock Disposition 2013-02-12 30,000 $53.00 36,629 No 4 S Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 M Indirect By Trust
No 4 S Indirect By Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right-to-buy) Acquisiton 2013-02-11 94,658 $0.00 94,658 $52.69
Common Stock Employee Stock Option (right-to-buy) Disposition 2013-02-12 30,000 $0.00 30,000 $49.12
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
94,658 2023-02-11 No 4 A Direct
60,000 2014-02-17 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 84,529 Indirect GRAT
Common Stock 120 Direct
Common Stock 8,710 Indirect By Spouse
Common Stock 31,884 Indirect 401(k)
Footnotes
  1. Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
  2. This option exercise was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
  3. This sale was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
  4. The price in Column 4 is the weighted average price. The prices actually received ranged from $53.00 to $53.02. Upon request, the reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within this range.
  5. as of 12/31/12
  6. The option becomes exercisable in four annual installments: 23,665 on February 11, 2014; 23,665 on February 11, 2015; 23,664 on February 11, 2016; and 23,664 on February 11, 2017.
  7. This option became exercisable in four annual installments beginning 2/17/2005.