Filing Details
- Accession Number:
- 0000895813-13-000093
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-12 11:47:54
- Reporting Period:
- 2013-03-11
- Filing Date:
- 2013-03-12
- Accepted Time:
- 2013-03-12 11:47:54
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | 2013-03-11 | 30,000 | $49.12 | 87,307 | No | 4 | M | Indirect | By Trust |
| Common Stock | Disposition | 2013-03-11 | 30,000 | $55.00 | 57,307 | No | 4 | S | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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) | Disposition | 2013-03-11 | 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 |
|---|---|---|---|---|---|---|
| 30,000 | 2014-02-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 257,579 | Direct | |
| 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
- This option exercise was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
- This sale was made pursuant to a written plan adopted in accordance with SEC Rule 10b5-1.
- The price in Column 4 is the weighted average price. The prices actually received ranged from $55.00 to $55.0201. 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.
- Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- as of 12/31/12
- This option became excercisable in four annual installments beginning 2/17/2005.
Billionaire Hedge Funds
