Company · CIK 0000073124 · SIC 6022 — State Commercial Banks · Nasdaq
NORTHERN TRUST CORP · NTRS
Insider activity reported against this company. All insider holders · On EDGAR ↗
Reported at this company — common stock
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 30, 2018 AForm 4 → | Jul 3, 5:43 pm EDT | Becerra Jose Luis PradoDirector | 293 | $102.89 | $30,122 | 9,441 | — | plan? |
| Jun 30, 2018 AForm 4 → | Jul 3, 5:43 pm EDT | Dean M HarrisonDirector | 317 | $102.89 | $32,633 | 6,437 | — | plan? |
| Jun 30, 2018 AForm 4 → | Jul 3, 5:42 pm EDT | Linda BynoeDirector | 305 | $102.89 | $31,377 | 21,771 | — | plan? |
| Jun 30, 2018 AForm 4 → | Jul 3, 11:20 am EDT | Susan CrownDirector | 292 | $102.89 | $30,000 | 22,683 | — | plan? |
| Jun 5, 2018 GForm 4 → | Jun 5, 6:31 pm EDT | Joyce St ClairExecutive Vice President | 1,949 | — | — | 34,076 | — | plan? |
| Jun 1, 2018 GForm 4 → | Jun 1, 5:55 pm EDT | Frederick H WaddellChairman, Director | 722 | — | — | 88,105 | — | plan? |
| May 18, 2018 LForm 4 → | Feb 13, 2019, 8:11 pm EST | Dean M HarrisonDirector | 20 | $103.97 | $2,079 | 51 | — | plan? late |
| May 17, 2018 GForm 4 → | May 21, 5:43 pm EDT | Biff BowmanChief Financial Officer | 1,390 | — | — | 73,411 | — | plan? |
| May 15, 2018 SForm 4 → | May 16, 7:09 pm EDT | Jana R SchreuderCOO | 2,913 | $107.38 | $312,798 | 16,926 | −14.7% | plan? |
| May 10, 2018 GForm 4 → | May 11, 6:31 pm EDT | Shundrawn A ThomasPresident / Asset Management | 274 | — | — | 25,101 | — | plan? |
| May 8, 2018 GForm 4 → | May 8, 6:39 pm EDT | Frederick H WaddellChairman, Director | 242 | — | — | 88,827 | — | plan? |
| May 7, 2018 SForm 4 → | May 8, 6:39 pm EDT | Jeffrey D. CohodesExecutive Vice President | 14,979 | $105.15 | $1,575,042 | 20,484 | −42.2% | plan? |
| May 7, 2018 GMForm 4 → | May 8, 6:39 pm EDT | Aileen B BlakeEVP and Controller | 7,088 | $60.85 | $375,019 | 11,660 | — | plan? |
| May 7, 2018 SForm 4 → | May 8, 6:39 pm EDT | Aileen B BlakeEVP and Controller | 7,163 | $105.15 | $753,221 | 12,338 | −36.7% | plan? |
| May 1, 2018 GForm 4 → | May 2, 5:16 pm EDT | Frederick H WaddellChairman, Director | 9,972 | — | — | 0 | — | plan? |
| Apr 26, 2018 GForm 4 → | Apr 27, 5:27 pm EDT | Frederick H WaddellChairman, Director | 2,000 | — | — | 74,027 | — | plan? |
| Apr 24, 2018 SForm 4 → | Apr 24, 6:30 pm EDT | Jana R SchreuderCOO | 2,627 | $108.08 | $283,926 | 0 | −100% | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:11 pm EDT | Charles A TribbettDirector | 1,033 | — | — | 20,803 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:10 pm EDT | Donald ThompsonDirector | 1,033 | — | — | 3,778 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:10 pm EDT | David Byron Smith Jr.Director | 1,033 | — | — | 1,033 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:10 pm EDT | Martin P SlarkDirector | 1,033 | — | — | 8,858 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:09 pm EDT | John W RoweDirector | 1,033 | — | — | 22,900 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:09 pm EDT | Thomas E RichardsDirector | 1,033 | — | — | 5,218 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:08 pm EDT | Becerra Jose Luis PradoDirector | 1,033 | — | — | 9,149 | — | plan? |
| Apr 17, 2018 DMForm 4 → | Apr 19, 7:08 pm EDT | Charles D PowellOther | 2,428 | $107.04 | $129,947 | 0 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:08 pm EDT | Jay L HendersonDirector | 1,033 | — | — | 7,407 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:08 pm EDT | Dean M HarrisonDirector | 1,033 | — | — | 6,120 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 7:07 pm EDT | Linda BynoeDirector | 1,033 | — | — | 21,466 | — | plan? |
| Apr 17, 2018 AForm 4 → | Apr 19, 2:00 pm EDT | Susan CrownDirector | 1,033 | — | — | 22,391 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 7:48 pm EDT | Dean M HarrisonDirector | 315 | $103.13 | $32,500 | 5,087 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 7:24 pm EDT | Charles A TribbettDirector | 303 | $103.13 | $31,250 | 19,770 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 7:24 pm EDT | Thomas E RichardsDirector | 291 | $103.13 | $29,999 | 4,185 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 7:24 pm EDT | Becerra Jose Luis PradoDirector | 291 | $103.13 | $29,999 | 8,116 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 7:24 pm EDT | Linda BynoeDirector | 303 | $103.13 | $31,250 | 20,433 | — | plan? |
| Mar 31, 2018 AForm 4 → | Apr 3, 11:44 am EDT | Susan CrownDirector | 290 | $103.13 | $29,908 | 21,357 | — | plan? |
| Mar 9, 2018 SForm 4 → | Mar 13, 5:27 pm EDT | Jana R SchreuderCOO | 4,807 | $110.00 | $528,770 | 16,926 | −22.1% | plan? |
| Mar 8, 2018 GForm 4 → | Mar 9, 6:41 pm EST | Robert P BrowneEVP & Chief Investment Officer | 400 | — | — | 55,473 | — | plan? |
| Mar 8, 2018 SForm 4 → | Mar 9, 6:41 pm EST | Robert P BrowneEVP & Chief Investment Officer | 6,000 | $106.79 | $640,740 | 55,873 | −9.70% | plan? |
| Mar 1, 2018 SForm 4 → | Mar 2, 6:25 pm EST | Jana R SchreuderCOO | 3,730 | $105.14 | $392,172 | 21,733 | −14.6% | plan? |
| Feb 27, 2018 SForm 4 → | Feb 27, 7:00 pm EST | William L MorrisonVice Chairman | 46,053 | $109.18 | $5,028,142 | 59,569 | −43.6% | plan? |
| Feb 27, 2018 MForm 4 → | Feb 27, 7:00 pm EST | William L MorrisonVice Chairman | 46,053 | $63.24 | $2,912,554 | 105,622 | — | plan? |
| Feb 27, 2018 SForm 4 → | Feb 27, 6:59 pm EST | Biff BowmanChief Financial Officer | 13,811 | $108.53 | $1,498,908 | 74,801 | −15.6% | plan? |
| Feb 26, 2018 MForm 4 → | Feb 27, 7:00 pm EST | Susan Gillian PembletonEVP/Human Resources | 6,898 | $58.25 | $401,809 | 28,228 | — | plan? |
| Feb 26, 2018 SForm 4 → | Feb 27, 7:00 pm EST | Susan Gillian PembletonEVP/Human Resources | 16,198 | $108.36 | $1,755,182 | 21,330 | −43.2% | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:09 pm EST | Frederick H WaddellChairman, Director | 18,615 | $105.15 | $551,617 | 188,607 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:09 pm EST | Shundrawn A ThomasPresident / Asset Management | 5,223 | $105.15 | $21,976 | 25,375 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:08 pm EST | Joyce St ClairExecutive Vice President | 8,347 | $105.15 | $165,927 | 28,711 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:08 pm EST | Jana R SchreuderCOO | 11,999 | $105.15 | $207,356 | 44,716 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:08 pm EST | Stephen N PotterVice Chairman | 7,093 | $105.15 | $165,927 | 40,515 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:07 pm EST | Susan Gillian PembletonEVP/Human Resources | 7,063 | $105.15 | $145,212 | 30,630 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:07 pm EST | Teresa ParkerExecutive Vice President | 12,801 | $105.15 | $163,298 | 32,229 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:07 pm EST | Michael O'GradyPresident and CEO, Director | 17,788 | $105.15 | $165,927 | 38,371 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:06 pm EST | William L MorrisonVice Chairman | 6,289 | $105.15 | $239,532 | 59,569 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:06 pm EST | Susan Cohen LevyExecutive VP & General Counsel | 6,984 | $105.15 | $136,905 | 40,316 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:06 pm EST | Wilson LeechEVP/Chief Risk Officer | 5,892 | $105.15 | $22,082 | 38,865 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:05 pm EST | Steven L FradkinPresident/Wealth Management | 9,266 | $105.15 | $165,927 | 45,666 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:05 pm EST | Jeffrey D. CohodesExecutive Vice President | 6,717 | $105.15 | $136,905 | 35,463 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:05 pm EST | Peter CherecwichPresident/C&IS | 8,616 | $105.15 | $132,804 | 46,792 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:04 pm EST | Robert P BrowneEVP & Chief Investment Officer | 8,597 | $105.15 | $165,927 | 61,873 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:04 pm EST | Biff BowmanChief Financial Officer | 8,597 | $105.15 | $165,927 | 88,612 | — | plan? |
| Feb 20, 2018 AFForm 4 → | Feb 22, 5:04 pm EST | Aileen B BlakeEVP and Controller | 4,560 | $105.15 | $27,549 | 12,338 | — | plan? |
| Feb 16, 2018 SForm 4 → | Feb 20, 6:03 pm EST | William L MorrisonVice Chairman | 20,000 | $105.08 | $2,101,600 | 57,836 | −25.7% | plan? |
| Feb 16, 2018 SForm 4 → | Feb 20, 6:03 pm EST | Jeffrey D. CohodesExecutive Vice President | 6,898 | $105.27 | $726,152 | 31,350 | −18.0% | plan? |
| Feb 16, 2018 MForm 4 → | Feb 20, 6:03 pm EST | Jeffrey D. CohodesExecutive Vice President | 6,898 | $58.25 | $401,809 | 38,248 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:34 pm EST | Frederick H WaddellChairman, Director | 6,052 | $98.88 | $598,422 | 187,078 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:34 pm EST | Shundrawn A ThomasPresident / Asset Management | 723 | $98.88 | $71,490 | 20,570 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:34 pm EST | Joyce St ClairExecutive Vice President | 1,820 | $98.88 | $179,962 | 25,503 | — | plan? |
| Feb 12, 2018 FGForm 4 → | Feb 14, 6:34 pm EST | Jana R SchreuderCOO | 2,756 | $98.88 | $179,962 | 32,984 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:33 pm EST | Stephen N PotterVice Chairman | 1,820 | $98.88 | $179,962 | 38,561 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:33 pm EST | Susan Gillian PembletonEVP/Human Resources | 338 | $98.88 | $33,421 | 26,329 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:33 pm EST | Teresa ParkerExecutive Vice President | 450 | $98.88 | $44,496 | 22,534 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:32 pm EST | Michael O'GradyPresident and CEO, Director | 1,820 | $98.88 | $179,962 | 25,722 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:32 pm EST | William L MorrisonVice Chairman | 2,628 | $98.88 | $259,857 | 77,836 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:32 pm EST | Wilson LeechEVP/Chief Risk Officer | 186 | $98.88 | $18,392 | 33,393 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:31 pm EST | Steven L FradkinPresident/Wealth Management | 1,820 | $98.88 | $179,962 | 41,539 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:31 pm EST | Jeffrey D. CohodesExecutive Vice President | 1,502 | $98.88 | $148,518 | 31,350 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:31 pm EST | Peter CherecwichPresident/C&IS | 469 | $98.88 | $46,375 | 40,702 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:31 pm EST | Robert P BrowneEVP & Chief Investment Officer | 1,639 | $98.88 | $162,064 | 56,432 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:30 pm EST | Biff BowmanChief Financial Officer | 1,502 | $98.88 | $148,518 | 83,171 | — | plan? |
| Feb 12, 2018 FForm 4 → | Feb 14, 6:30 pm EST | Aileen B BlakeEVP and Controller | 301 | $98.88 | $29,763 | 8,931 | — | plan? |
| Feb 12, 2018 SForm 4 → | Feb 12, 6:56 pm EST | Jeffrey D. CohodesExecutive Vice President | 11,982 | $98.75 | $1,183,198 | 32,852 | −26.7% | plan? |
| Feb 12, 2018 MForm 4 → | Feb 12, 6:56 pm EST | Jeffrey D. CohodesExecutive Vice President | 11,982 | $59.35 | $711,170 | 44,834 | — | plan? |
| Feb 1, 2018 GForm 4 → | Feb 1, 6:55 pm EST | Frederick H WaddellChairman, Director | 5,728 | — | — | 95,379 | — | plan? |
| Jan 31, 2018 SForm 4 → | Feb 1, 6:55 pm EST | Stephen N PotterVice Chairman | 7,103 | $105.55 | $749,722 | 0 | −100% | plan? |
| Jan 30, 2018 SForm 4 → | Feb 1, 6:54 pm EST | Wilson LeechEVP/Chief Risk Officer | 8,958 | $106.17 | $951,063 | 33,579 | −21.1% | plan? |
| Jan 30, 2018 MForm 4 → | Feb 1, 6:54 pm EST | Wilson LeechEVP/Chief Risk Officer | 8,958 | $57.21 | $512,522 | 35,731 | — | plan? |
| Jan 30, 2018 GForm 4 → | Jan 30, 6:00 pm EST | Joyce St ClairExecutive Vice President | 126 | — | — | 31,754 | — | plan? |
| Jan 26, 2018 SForm 4 → | Jan 30, 6:00 pm EST | Stephen N PotterVice Chairman | 10,000 | $106.14 | $1,061,400 | 28,674 | −25.9% | plan? |
| Jan 26, 2018 MForm 4 → | Jan 30, 6:00 pm EST | Teresa ParkerExecutive Vice President | 7,118 | $52.69 | $375,047 | 30,102 | — | plan? |
| Jan 26, 2018 SForm 4 → | Jan 30, 6:00 pm EST | Teresa ParkerExecutive Vice President | 10,118 | $106.18 | $1,074,310 | 22,984 | −30.6% | plan? |
| Jan 26, 2018 SForm 4 → | Jan 30, 5:59 pm EST | Jeffrey D. CohodesExecutive Vice President | 30,917 | $105.29 | $3,255,251 | 32,852 | −48.5% | plan? |
| Jan 26, 2018 MForm 4 → | Jan 30, 5:59 pm EST | Jeffrey D. CohodesExecutive Vice President | 30,917 | $62.27 | $1,925,055 | 63,769 | — | plan? |
| Jan 26, 2018 SForm 4 → | Jan 30, 5:59 pm EST | Aileen B BlakeEVP and Controller | 3,000 | $105.32 | $315,960 | 12,230 | −19.7% | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:06 pm EST | Shundrawn A ThomasPresident / Asset Management | 4,258 | $106.71 | $454,371 | 21,293 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:05 pm EST | Susan Gillian PembletonEVP/Human Resources | 19,296 | $106.71 | $2,059,076 | 26,667 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:04 pm EST | Michael O'GradyPresident and CEO, Director | 21,871 | $106.71 | $2,333,854 | 99,418 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:03 pm EST | Susan Cohen LevyExecutive VP & General Counsel | 17,864 | $106.71 | $1,906,267 | 35,936 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:03 pm EST | Wilson LeechEVP/Chief Risk Officer | 2,925 | $106.71 | $312,127 | 33,579 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:02 pm EST | Peter CherecwichPresident/C&IS | 17,288 | $106.71 | $1,844,802 | 41,171 | — | plan? |
| Jan 23, 2018 AFForm 4 → | Jan 25, 6:02 pm EST | Robert P BrowneEVP & Chief Investment Officer | 21,879 | $106.71 | $2,334,708 | 58,071 | — | plan? |
Reported at this company — derivatives (options, RSUs, warrants)
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2016 MForm 4 → | Nov 4, 6:32 pm EDT | Joyce St ClairExecutive Vice President | 1,820 | — | — | 70,396 | — | |
| Nov 3, 2016 MForm 4 → | Nov 4, 6:32 pm EDT | Jana R SchreuderCOO | 3,319 | — | — | 89,470 | — | |
| Nov 2, 2016 MForm 4 → | Nov 4, 6:33 pm EDT | Susan Gillian PembletonEVP, Human Resources | 15,574 | — | — | 0 | — | |
| Oct 31, 2016 MForm 4 → | Nov 2, 6:59 pm EDT | William L MorrisonVice Chairman | 71,239 | — | — | 0 | — | |
| Oct 10, 2016 MForm 4 → | Oct 11, 7:07 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 7,616 | — | — | 5,871 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:36 pm EDT | Charles A TribbettDirector | 462 | $67.56 | $31,213 | 18,802 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:36 pm EDT | Thomas E RichardsDirector | 444 | $67.56 | $29,997 | 2,036 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:36 pm EDT | Becerra Jose Luis PradoDirector | 499 | $67.56 | $33,712 | 6,746 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:35 pm EDT | Dipak C JainDirector | 444 | $67.56 | $29,997 | 22,011 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:35 pm EDT | Dean M HarrisonDirector | 481 | $67.56 | $32,496 | 3,041 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 7:35 pm EDT | Linda BynoeDirector | 407 | $67.56 | $27,497 | 10,162 | — | |
| Sep 30, 2016 AForm 4 → | Oct 4, 10:11 am EDT | Susan CrownDirector | 462 | — | — | 13,852 | — | |
| Sep 8, 2016 MForm 4 → | Sep 9, 6:09 pm EDT | Frederick H WaddellChairman and CEO, Director | 160,367 | — | — | 0 | — | |
| Sep 7, 2016 MForm 4 → | Sep 8, 6:04 pm EDT | Biff BowmanChief Financial Officer | 2,960 | — | — | 0 | — | |
| Sep 1, 2016 MForm 4 → | Sep 2, 5:18 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 10,000 | — | — | 13,487 | — | |
| Aug 29, 2016 MForm 4 → | Aug 29, 7:01 pm EDT | Joyce St ClairExecutive Vice President | 50,010 | — | — | 0 | — | |
| Aug 23, 2016 MForm 4 → | Aug 24, 6:52 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 10,000 | — | — | 0 | — | |
| Aug 18, 2016 MForm 4 → | Aug 22, 5:24 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 10,000 | — | — | 10,000 | — | |
| Aug 17, 2016 MForm 4 → | Aug 18, 4:23 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 14,365 | — | — | 20,000 | — | |
| Aug 12, 2016 MForm 4 → | Aug 12, 6:48 pm EDT | Robert P BrowneEVP & Chief Investment Officer | 5,883 | — | — | 0 | — | |
| Aug 8, 2016 MForm 4 → | Aug 10, 4:59 pm EDT | Robert P BrowneEVP & Chief Investment Officer | 11,455 | — | — | 0 | — | |
| Aug 4, 2016 AForm 4 → | Aug 8, 6:10 pm EDT | Susan Gillian PembletonEVP, Human Resources | 2,013 | — | — | 0 | — | |
| Aug 3, 2016 MForm 4 → | Aug 5, 7:13 pm EDT | William L MorrisonPresident | 150,563 | — | — | 0 | — | |
| Aug 3, 2016 MForm 4 → | Aug 3, 7:11 pm EDT | Joyce St ClairExecutive Vice President | 48,110 | — | — | 0 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:39 pm EDT | Charles A TribbettDirector | 478 | $65.31 | $31,218 | 18,340 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:39 pm EDT | Thomas E RichardsDirector | 459 | $65.31 | $29,977 | 1,592 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:38 pm EDT | Becerra Jose Luis PradoDirector | 516 | $65.31 | $33,700 | 6,247 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:38 pm EDT | Dipak C JainDirector | 459 | $65.31 | $29,977 | 21,567 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:38 pm EDT | Dean M HarrisonDirector | 497 | $65.31 | $32,459 | 2,560 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 4:37 pm EDT | Linda BynoeDirector | 421 | $65.31 | $27,496 | 9,755 | — | |
| Jun 30, 2016 AForm 4 → | Jul 5, 11:27 am EDT | Susan CrownDirector | 478 | — | — | 13,390 | — | |
| Apr 21, 2016 MForm 4 → | Apr 22, 5:23 pm EDT | Peter CherecwichEVP, Global Fund Services | 47,260 | — | — | 0 | — | |
| Apr 19, 2016 AMForm 4 → | Apr 20, 7:51 pm EDT | Charles D PowellOther | 3,061 | — | — | 1,531 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:21 pm EDT | Charles A TribbettDirector | 477 | $65.48 | $31,234 | 17,862 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:21 pm EDT | Thomas E RichardsDirector | 438 | $65.48 | $28,680 | 1,133 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:20 pm EDT | Becerra Jose Luis PradoDirector | 496 | $65.48 | $32,478 | 5,731 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:20 pm EDT | Dipak C JainDirector | 448 | $65.48 | $29,335 | 21,108 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:20 pm EDT | Dean M HarrisonDirector | 467 | $65.48 | $30,579 | 2,063 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 5:20 pm EDT | Linda BynoeDirector | 419 | $65.48 | $27,436 | 9,334 | — | |
| Mar 31, 2016 AForm 4 → | Apr 4, 3:45 pm EDT | Susan CrownDirector | 477 | — | — | 12,912 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:16 pm EST | Frederick H WaddellChairman and CEO, Director | 110,362 | — | — | 110,362 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:16 pm EST | Joyce St ClairExecutive Vice President | 30,657 | — | — | 30,657 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:16 pm EST | Jana R SchreuderCOO | 45,985 | — | — | 45,985 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:15 pm EST | Stephen N PotterPresident / Asset Management | 34,489 | — | — | 34,489 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:15 pm EST | Susan Gillian PembletonEVP, Human Resources | 27,591 | — | — | 27,591 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:15 pm EST | Michael O'GradyPresident / C&IS | 34,489 | — | — | 34,489 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:14 pm EST | William L MorrisonPresident | 53,649 | — | — | 53,649 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:14 pm EST | Susan Cohen LevyExecutive VP & General Counsel | 27,591 | — | — | 27,591 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:14 pm EST | Wilson LeechExecutive Vice President | 3,066 | — | — | 3,066 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:13 pm EST | Steven L FradkinPresident/Wealth Management | 34,489 | — | — | 34,489 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:13 pm EST | Jeffrey D. CohodesEVP/Chief Risk Officer | 27,591 | — | — | 27,591 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:13 pm EST | Peter CherecwichEVP, Global Fund Services | 26,825 | — | — | 26,825 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:12 pm EST | Robert P BrowneEVP & Chief Investment Officer | 32,956 | — | — | 32,956 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 8:12 pm EST | Biff BowmanChief Financial Officer | 34,489 | — | — | 34,489 | — | |
| Jan 19, 2016 AForm 4 → | Jan 21, 4:23 pm EST | Susan CrownDirector | 25 | — | — | 12,435 | — | |
| Dec 31, 2015 AForm 4 → | Jan 5, 2016, 11:09 am EST | Susan CrownDirector | 405 | — | — | 12,410 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:27 pm EST | Charles A TribbettDirector | 430 | $72.63 | $31,231 | 17,385 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:27 pm EST | Thomas E RichardsDirector | 378 | $72.63 | $27,454 | 695 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:27 pm EST | Becerra Jose Luis PradoDirector | 430 | $72.63 | $31,231 | 5,235 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:26 pm EST | Dipak C JainDirector | 395 | $72.63 | $28,689 | 20,660 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:26 pm EST | Dean M HarrisonDirector | 405 | $72.63 | $29,415 | 1,596 | — | |
| Dec 31, 2015 AForm 4 → | Jan 4, 2016, 6:26 pm EST | Linda BynoeDirector | 378 | $72.63 | $27,454 | 8,915 | — | |
| Sep 30, 2015 AForm 4 → | Oct 2, 1:23 pm EDT | Susan CrownDirector | 460 | — | — | 12,005 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:09 pm EDT | Charles A TribbettDirector | 460 | $67.79 | $31,183 | 16,955 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:09 pm EDT | Thomas E RichardsDirector | 317 | $67.79 | $21,489 | 317 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:09 pm EDT | Becerra Jose Luis PradoDirector | 460 | $67.79 | $31,183 | 4,805 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:09 pm EDT | Dipak C JainDirector | 424 | $67.79 | $28,743 | 20,265 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:08 pm EDT | Dean M HarrisonDirector | 424 | $67.79 | $28,743 | 1,201 | — | |
| Sep 30, 2015 AForm 4 → | Oct 1, 5:08 pm EDT | Linda BynoeDirector | 405 | $67.79 | $27,455 | 8,537 | — | |
| Jul 30, 2015 MForm 4 → | Jul 31, 4:33 pm EDT | William L MorrisonPresident | 78,882 | — | — | 20,046 | — | |
| Jul 23, 2015 MForm 4 → | Jul 24, 5:45 pm EDT | Joyce St ClairExecutive Vice President | 6,000 | — | — | 0 | — | |
| Jul 23, 2015 MForm 4 → | Jul 24, 5:44 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 3,477 | — | — | 6,000 | — | |
| Jun 30, 2015 AForm 4 → | Jul 6, 7:29 pm EDT | Charles A TribbettDirector | 396 | $76.76 | $30,397 | 16,495 | — | late |
| Jun 30, 2015 AForm 4 → | Jul 6, 7:29 pm EDT | Becerra Jose Luis PradoDirector | 410 | $76.76 | $31,472 | 4,345 | — | late |
| Jun 30, 2015 AForm 4 → | Jul 6, 7:29 pm EDT | Dipak C JainDirector | 374 | $76.76 | $28,708 | 19,841 | — | late |
| Jun 30, 2015 AForm 4 → | Jul 6, 7:29 pm EDT | Dean M HarrisonDirector | 374 | $76.76 | $28,708 | 777 | — | late |
| Jun 30, 2015 AForm 4 → | Jul 6, 7:28 pm EDT | Linda BynoeDirector | 358 | $76.76 | $27,480 | 8,132 | — | late |
| Jun 30, 2015 AForm 4 → | Jul 2, 11:24 am EDT | Susan CrownDirector | 407 | — | — | 11,545 | — | |
| Jun 22, 2015 MForm 4 → | Jun 22, 6:44 pm EDT | Stephen N PotterPresident / Asset Management | 26,042 | — | — | 0 | — | |
| Jun 10, 2015 MForm 4 → | Jun 11, 5:43 pm EDT | Frederick H WaddellChairman and CEO, Director | 35,105 | — | — | 0 | — | |
| Jun 10, 2015 MForm 4 → | Jun 11, 5:43 pm EDT | Joyce St ClairExecutive Vice President | 5,838 | — | — | 6,000 | — | |
| May 14, 2015 MForm 4 → | May 15, 4:54 pm EDT | Jeffrey D. CohodesEVP/Chief Risk Officer | 34,905 | — | — | 0 | — | |
| May 5, 2015 MForm 4 → | May 5, 5:09 pm EDT | Frederick H WaddellChairman and CEO, Director | 20,000 | — | — | 35,105 | — | |
| May 5, 2015 MForm 4 → | May 5, 5:09 pm EDT | Jana R SchreuderCOO | 8,878 | — | — | 0 | — | |
| May 4, 2015 MForm 4 → | May 5, 5:09 pm EDT | Susan Gillian PembletonEVP, Human Resources | 1,152 | — | — | 0 | — | |
| Apr 30, 2015 MForm 4 → | May 4, 7:30 pm EDT | Jane KarpinskiSenior VP & Controller | 14,723 | — | — | 224 | — | |
| Apr 22, 2015 MForm 4 → | Apr 24, 6:30 pm EDT | Jana R SchreuderCOO | 8,878 | — | — | 8,878 | — | |
| Apr 22, 2015 MForm 4 → | Apr 24, 6:29 pm EDT | Steven L FradkinPresident/Wealth Management | 20,123 | — | — | 20,124 | — | |
| Apr 22, 2015 MForm 4 → | Apr 24, 6:29 pm EDT | Biff BowmanChief Financial Officer | 2,959 | — | — | 2,960 | — | |
| Apr 21, 2015 AMForm 4 → | Apr 23, 8:03 pm EDT | Charles D PowellOther | 2,027 | — | — | 1,530 | — | |
| Apr 21, 2015 MForm 4 → | Apr 23, 8:02 pm EDT | Edward J MooneyOther | 1,266 | — | — | 0 | — | |
| Apr 21, 2015 MForm 4 → | Apr 23, 8:01 pm EDT | John BondOther | 1,677 | — | — | 0 | — | |
| Mar 31, 2015 AForm 4 → | Apr 2, 6:44 pm EDT | Dean M HarrisonDirector | 403 | $69.61 | $28,053 | 403 | — | |
| Mar 31, 2015 AForm 4 → | Apr 2, 4:23 pm EDT | Susan CrownDirector | 448 | — | — | 11,138 | — | |
| Mar 17, 2015 MForm 4 → | Mar 18, 6:54 pm EDT | Frederick H WaddellChairman and CEO, Director | 10,000 | — | — | 55,105 | — | |
| Feb 24, 2015 MForm 4 → | Feb 25, 6:45 pm EST | Jeffrey D. CohodesEVP/Chief Risk Officer | 3,000 | — | — | 0 | — | |
| Feb 17, 2015 AForm 4 → | Feb 19, 7:18 pm EST | Frederick H WaddellChairman and CEO, Director | 78,930 | — | — | 78,930 | — | |
| Feb 17, 2015 AForm 4 → | Feb 19, 7:18 pm EST | Joyce St ClairExecutive Vice President | 23,739 | — | — | 23,739 | — | |
| Feb 17, 2015 AForm 4 → | Feb 19, 7:17 pm EST | Jana R SchreuderCOO | 29,673 | — | — | 29,673 | — | |
| Feb 17, 2015 AForm 4 → | Feb 19, 7:17 pm EST | Stephen N PotterPresident / Asset Management | 23,739 | — | — | 23,739 | — |