SEC Form 4 · accession 0000073124-15-000164
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — President / Asset Management
Period of report
Jun 22, 2015
Accepted (ET)
Jun 22, 2015 · 6:44 pm EDT
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 | Jun 22, 2015 | M | 26,042 | $63.36 | A | 67,148 | D | |
| Common StockF1 | Jun 22, 2015 | S | 26,042 | $78.00 | D | 41,106 | D | |
| Common Stock | holding | — | — | — | 40,287 | I | By Trust | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Son | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Daughter | |
| Common Stock | holding | — | — | — | 8,335 | I | 401(k) as of 3-31-2015 |
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)F3 | $63.36 | Jun 22, 2015 | M | 26,042 | D | — | Feb 20, 2017 | Common Stock | 26,042 | 0 | D |
Explanation of responses
- F1Includes 41,106 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
- F3This option became exercisable in four equal annual installments beginning 2/20/2008.