SEC Form 4 · accession 0000073124-15-000032
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Cohodes
Officer — EVP/Chief Risk Officer
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 8:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000073124
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 6, 2015 | M | 5,000 | $55.39 | A | 52,667 | D | |
| Common StockF1 | Feb 6, 2015 | S | 5,000 | $69.20 | D | 47,667 | D | |
| Common Stock | holding | — | — | — | 3,818 | I | 401(k) as of 12-31-2014 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right-to-buy)F2 | $55.39 | Feb 6, 2015 | M | 5,000 | D | — | Feb 16, 2019 | Common Stock | 0 | 0 | D |
Explanation of responses
- F1Includes 18,170 shares representing stock units payable automatically on a 1-for-1 basis in share of the Corporation's common stock.
- F2This option became exercisable in four equal annual installments beginning 2/16/2010.