Filing Details
- Accession Number:
- 0000073124-20-000248
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-05 18:00:18
- Reporting Period:
- 2020-11-03
- Accepted Time:
- 2020-11-05 18:00:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1214324 | L Steven Fradkin | 50 South La Salle St 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-11-03 | 7,117 | $52.69 | 48,822 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-03 | 7,117 | $82.88 | 41,705 | 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 | 2020-11-03 | 7,117 | $0.00 | 7,117 | $52.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 78,328 | Indirect | By Trust |
| Common Stock | 7,100 | Indirect | 2018 GRAT |
| Common Stock | 75,000 | Indirect | 2020 GRAT |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Son |
| Common Stock | 1,762 | Indirect | Spouse as trustee for Daughter |
| Common Stock | 10,706 | Indirect | 401(k) as of 9-30-2020 |
Footnotes
- Includes 41,705 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- Price reflects the weighted average sales price from $82.85 to $82.93. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Reflects the March 13, 2020 transfer of 75,000 shares of the Corporation's common stock into a newly created grantor retained annuity trust.
- This option became exercisable in four equal annual installments beginning February 11, 2014.
Billionaire Hedge Funds
