Filing Details

Accession Number:
0000073124-17-000276
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-09-28 17:04:29
Reporting Period:
2017-09-27
Accepted Time:
2017-09-28 17:04:29
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 2017-09-27 100,000 $52.64 301,519 No 4 M Direct
Common Stock Disposition 2017-09-27 100,000 $92.00 201,519 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2017-09-27 100,000 $0.00 100,000 $52.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
127,964 2021-02-14 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 68,570 Indirect By Trust
Common Stock 25,014 Indirect 2015 GRAT
Common Stock 28,124 Indirect 2016-1 GRAT
Common Stock 29,087 Indirect 2016-2 GRAT
Common Stock 35,160 Indirect 2017-1 GRAT
Common Stock 23,000 Indirect 2017-2 GRAT
Common Stock 15,506 Indirect By Spouse
Common Stock 34,580 Indirect 401(k) as of 6-30-2017
Footnotes
  1. Includes 201,399 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 $92.00 to $92.08. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
  4. This option becomes exercisable in four equal annual installments beginning 2/14/2012.