Filing Details
- Accession Number:
- 0000073124-21-000198
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-07 13:00:00
- Reporting Period:
- 2021-05-05
- Accepted Time:
- 2021-05-07 20:56:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1527742 | Michael O'grady | 50 South La Salle St Chicago IL 60603 | Chairman, President 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 | 2021-05-05 | 42,638 | $38.78 | 100,683 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-05 | 42,638 | $117.52 | 58,045 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-06 | 54,062 | $38.78 | 112,107 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-06 | 37,699 | $117.61 | 74,408 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-05-06 | 16,363 | $118.59 | 58,045 | 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 | |
| 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 | 2021-05-05 | 42,638 | $0.00 | 42,638 | $38.78 |
| Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2021-05-06 | 54,062 | $0.00 | 54,062 | $38.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 54,062 | 2021-10-18 | No | 4 | M | Direct | |
| 0 | 2021-10-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 106,419 | Indirect | By Trust |
| Common Stock | 40,000 | Indirect | GRAT |
Footnotes
- Includes 58,045 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 $117.50 to $117.77. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Price reflects the weighted average sales price from $117.25 to $118.24. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- Price reflects the weighted average sales price from $118.25 to $118.81. 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 on October 18, 2012.
Billionaire Hedge Funds
