Filing Details

Accession Number:
0000073124-15-000162
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-06-11 17:43:40
Reporting Period:
2015-06-10
Filing Date:
2015-06-11
Accepted Time:
2015-06-11 17:43:40
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 South 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 2015-06-10 13,395 $63.36 210,829 No 4 M Direct
Common Stock Disposition 2015-06-10 13,395 $77.50 197,434 No 4 S Direct
Common Stock Acquisiton 2015-06-11 21,710 $63.36 219,144 No 4 M Direct
Common Stock Disposition 2015-06-11 21,710 $77.55 197,434 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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 2015-06-10 13,395 $0.00 13,395 $63.36
Common Stock Employee Stock Option (right-to-buy) Disposition 2015-06-11 21,710 $0.00 21,710 $63.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
21,710 2017-02-20 No 4 M Direct
0 2017-02-20 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 96,587 Indirect By Trust
Common Stock 33,500 Indirect 2013 GRAT
Common Stock 15,169 Indirect 2014 GRAT
Common Stock 54,800 Indirect 2015 GRAT
Common Stock 8,710 Indirect By Spouse
Common Stock 33,256 Indirect 401(k) as of 3-31-2015
Footnotes
  1. Includes 197,314 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
  2. This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
  3. Price reflects the weighted average sales price from $77.50 to $77.51. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
  4. Price reflects the weighted average sales price from $77.50 to $77.62. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
  5. This option became exercisable in four equal annual installments beginning 2/20/2008.