Filing Details

Accession Number:
0000073124-16-000495
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-09 20:22:48
Reporting Period:
2016-11-07
Filing Date:
2016-11-09
Accepted Time:
2016-11-09 20:22:48
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
1328600 R Jana Schreuder 50 South Lasalle Street
Chicago IL 60603
Coo 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 2016-11-07 17,481 $71.23 61,631 No 4 M Direct
Common Stock Acquisiton 2016-11-07 19,200 $57.54 80,831 No 4 M Direct
Common Stock Disposition 2016-11-07 36,681 $73.08 44,150 No 4 S Direct
Common Stock Acquisiton 2016-11-09 22,118 $71.23 66,268 No 4 M Direct
Common Stock Acquisiton 2016-11-09 70,270 $57.54 136,538 No 4 M Direct
Common Stock Disposition 2016-11-09 52,118 $75.13 84,420 No 4 S Direct
Common Stock Disposition 2016-11-09 40,270 $77.00 44,150 No 4 S Direct
Common Stock Disposition 2016-11-09 8,033 $75.00 21,028 No 4 S Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
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 2016-11-07 17,481 $0.00 17,481 $71.23
Common Stock Employee Stock Option (right-to-buy) Disposition 2016-11-07 19,200 $0.00 19,200 $57.54
Common Stock Employee Stock Option (right-to-buy) Disposition 2016-11-09 22,118 $0.00 22,118 $71.23
Common Stock Employee Stock Option (right-to-buy) Disposition 2016-11-09 70,270 $0.00 70,270 $57.54
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
22,118 2018-02-19 No 4 M Direct
70,270 2019-07-21 No 4 M Direct
0 2018-02-19 No 4 M Direct
0 2019-07-21 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,329 Indirect 2012 GRAT
Common Stock 4,169 Indirect 2015 GRAT
Common Stock 15,577 Indirect 2016 GRAT
Common Stock 10,055 Indirect 401(k) as of 9-30-16
Footnotes
  1. Includes 44,150 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 $73.00 to $73.32. 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 $75.00 to $75.52. 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 2/19/2009.
  6. This option became exercisable in four equal annual installments beginning 7/21/2010.