Home > Insider Trading > Filing (0000073124-16-000525)

Filing Details

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 Lasalle Street 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
Common Stock	Acquisiton	2016-11-14	21,059	$71.23	69,687	No	4	M	Direct
Common Stock	Disposition	2016-11-14	21,059	$80.95	48,628	No	4	S	Direct
Common Stock	Acquisiton	2016-11-16	90,270	$57.54	138,898	No	4	M	Direct
Common Stock	Acquisiton	2016-11-16	58,836	$50.99	197,734	No	4	M	Direct
Common Stock	Acquisiton	2016-11-16	71,239	$52.64	268,973	No	4	M	Direct
Common Stock	Acquisiton	2016-11-16	48,110	$43.65	317,083	No	4	M	Direct
Common Stock	Acquisiton	2016-11-16	21,352	$52.69	338,435	No	4	M	Direct
Common Stock	Acquisiton	2016-11-16	12,326	$60.85	350,761	No	4	M	Direct
Common Stock	Disposition	2016-11-16	302,133	$80.98	48,628	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	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	2016-11-14	21,059	$0.00	21,059	$71.23
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	90,270	$0.00	90,270	$57.54
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	58,836	$0.00	58,836	$50.99
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	71,239	$0.00	71,239	$52.64
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	48,110	$0.00	48,110	$43.65
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	21,352	$0.00	21,352	$52.69
Common Stock	Employee Stock Option (right-to-buy)	Disposition	2016-11-16	12,326	$0.00	12,326	$60.85

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
21,059	2018-02-19	No	4	M	Direct
0	2019-07-21	No	4	M	Direct
0	2020-02-15	No	4	M	Direct
0	2021-02-14	No	4	M	Direct
0	2022-02-13	No	4	M	Direct
7,117	2023-02-11	No	4	M	Direct
12,325	2024-02-10	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	94,972	Indirect	By Trust
Common Stock	14,700	Indirect	GRAT
Common Stock	1,762	Indirect	Spouse as trustee for Son
Common Stock	1,762	Indirect	Spouse as trustee for Daughter
Common Stock	9,726	Indirect	401(k) as of 9-30-16

Footnotes

Includes 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
Price reflects the weighted average sales price from $80.59 to $81.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
This option became exercisable in four equal annual installments beginning 2/19/2009.
This option became exercisable in four equal annual installments beginning 7/21/2010.
This option became exercisable in four equal annual installments beginning 2/15/2011.
This option became exercisable in four equal annual installments beginning 2/14/2012.
This option becomes exercisable in four equal annual installments beginning 2/13/2013.
This option becomes exercisable in four equal annual installments beginning 2/11/2014.
This option becomes exercisable in four equal annual installments beginning 2/10/2015.