0000073124-16-000509.txt : 20161110
0000073124-16-000509.hdr.sgml : 20161110
20161110184012
ACCESSION NUMBER: 0000073124-16-000509
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161109
FILED AS OF DATE: 20161110
DATE AS OF CHANGE: 20161110
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NORTHERN TRUST CORP
CENTRAL INDEX KEY: 0000073124
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 362723087
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 50 S LASALLE ST
CITY: CHICAGO
STATE: IL
ZIP: 60603
BUSINESS PHONE: 3126306000
MAIL ADDRESS:
STREET 1: 50 S LASALLE ST
CITY: CHICAGO
STATE: IL
ZIP: 60603
FORMER COMPANY:
FORMER CONFORMED NAME: NORTRUST CORP
DATE OF NAME CHANGE: 19780525
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Potter Stephen N
CENTRAL INDEX KEY: 0001378549
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36609
FILM NUMBER: 161989558
MAIL ADDRESS:
STREET 1: 50 S. LA SALLE ST.
CITY: CHICAGO
STATE: IL
ZIP: 60603
4
1
wf-form4_147882119911612.xml
FORM 4
X0306
4
2016-11-09
0
0000073124
NORTHERN TRUST CORP
NTRS
0001378549
Potter Stephen N
50 SOUTH LASALLE STREET
CHICAGO
IL
60603
0
1
0
0
President / Asset Management
Common Stock
2016-11-09
4
M
0
35800
71.23
A
81818
D
Common Stock
2016-11-09
4
M
0
90270
57.54
A
172088
D
Common Stock
2016-11-09
4
S
0
72321
75.26
D
99767
D
Common Stock
2016-11-09
4
S
0
53749
76.30
D
46018
D
Common Stock
22968
I
By Trust
Common Stock
30000
I
GRAT
Common Stock
1270
I
Spouse as Trustee for Son
Common Stock
1270
I
Spouse as Trustee for Daughter
Common Stock
8345.79
I
401(k) as of 9-30-2016
Employee Stock Option (right-to-buy)
71.23
2016-11-09
4
M
0
35800
0
D
2018-02-19
Common Stock
35800.0
0
D
Employee Stock Option (right-to-buy)
57.54
2016-11-09
4
M
0
90270
0
D
2019-07-21
Common Stock
90270.0
0
D
Includes 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
Price reflects the weighted average sales price from $75.00 to $75.995. 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 $76.00 to $76.61. 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 2/19/2009.
This option became exercisable in four equal annual installments beginning 7/21/2010.
Bradley R. Gabriel, Attorney-in-Fact for Stephen N. Potter
2016-11-10