0001256484-15-000006.txt : 20150212
0001256484-15-000006.hdr.sgml : 20150212
20150212143835
ACCESSION NUMBER: 0001256484-15-000006
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20150212
DATE AS OF CHANGE: 20150212
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-17667
FILM NUMBER: 15605201
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
FILED BY:
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
FILING VALUES:
FORM TYPE: SC 13G/A
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
SC 13G/A
1
ntrs13gA38.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 38)
Northern Trust Corporation
(Name of Issuer)
Common Stock, $1.66 2/3 Par
(Title of Class of Securities)
665859 10 4
(CUSIP Number)
December 31, 2014
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule
pursuant to which this Schedule is filed:
X Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)
------------------------------------------------------------------
CUSIP No. 665859 10 4
13G
Page 2 of 6 Pages
1
Name of Reporting Person
S.S. or I.R.S. Identification No. of above person
Northern Trust Corporation 36-2723087
The Northern Trust Company 36-1561860
Northern Trust Investments, N.A. 36-3608252
Northern Trust Global Investments Ltd 6807764922343A00
2
Check the appropriate box if a member of a group
Not Applicable (a) [ ]
(b) [ ]
3
S.E.C. use only
4
Citizenship or place of organization
Northern Trust Corporation--a Delaware corporation with principal offices
in Chicago, Illinois
Number of Shares Beneficially Owned by each reporting person with
5
Sole Voting Power
8,427,770
6
Shared Voting Power
11,648,715
7
Sole Dispositive Power
2,153,402
8
Shared Dispositive Power
12,433,100
9
Aggregate amount beneficially owned by each reporting person
21,607,614
10
Check box if the aggregate amount in Row (9) excludes certain shares.
Not Applicable
11
Percent of class represented by amount in Row 9
9.26
12
Type of reporting person
Northern Trust Corporation HC
------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934
Check the following box if a fee is being paid with statement [ ].
1. (a) Northern Trust Corporation
(Name of Issuer)
(b) 50 South LaSalle St., Chicago, IL 60603
(Address of Issuer's Principal Executive Office)
2. (a) Northern Trust Corporation
(Name of Person Filing)
(b) 50 South LaSalle Street, Chicago, Illinois 60603
(Address of Person Filing)
(c) U.S. (Delaware Corporation)
(Citizenship)
(d) Common Stock, $1.66 2/3 Par
(Title of Class of Securities)
(e) 665859 10 4
(CUSIP Number)
3. This statement is being filed by Northern Trust Corporation as a
Parent Holding Company in accordance with S240.13d-1(b) (1) (ii) (G).
4. (a) 21,607,614
(Amount Beneficially Owned)
(b) 9.26
(Percent of Class)
(c) Number of shares as to which such person has:
(i) 8,427,770
(Sole Power to Vote or to Direct the Vote)
(ii) 11,648,715
(Shared Power to Vote or to Direct the Vote)
(iii) 2,153,402
(Sole Power to Dispose or Direct Disposition)
(iv) 12,433,100
(Shared Power to Dispose or Direct Disposition)
5. If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
5 percent of the class of securities, check the following: [ ]
6. Statement regarding ownership of 5 percent or more on behalf of another
person: none
7. Parent Holding Company reporting on behalf of the following subsidiaries,
all of which are banks as defined in Section 3(a) (6) of the Act:
The Northern Trust Company
50 South LaSalle Street
Chicago, IL 60603
Northern Trust Investments, N.A.
50 South LaSalle Street
Chicago, IL 60603
Northern Trust Global Investments Ltd
6 Devonshire Square, London, UK EC2M 4YE
8. Identification and Classification of Members of the Group.
Not Applicable.
9. Notice of Dissolution of Group.
Not Applicable.
10. By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect
of changing or influencing the control of the issuer of such securities and
were not acquired in connection with or as a participant in any transaction
having such purpose or effect.
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
NORTHERN TRUST CORPORATION
_________________________________
By: Robert P Browne
DATED: 02-03-2015 Title: Senior Vice President
------------------------------------------------------------------
EXHIBIT TO SCHEDULE 13G AMENDMENT
FILED BY NORTHERN TRUST CORPORATION
Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549-1004
Attention: Filing Desk, Stop 1-4
RE: Northern Trust Corporation
Pursuant to the requirement of 240.13d-1(k) (1) (iii), this exhibit shall
constitute our written agreement that the Schedule 13G Amendment to which this
exhibit is attached is filed on behalf of Northern Trust Corporation and of
its subsidiary(ies), as stated below, regarding our respective beneficial
ownership in the above-captioned equity security.
NORTHERN TRUST CORPORATION
_________________________________
By: Robert P Browne
DATED: 02-03-2015 Title: Senior Vice President
THE NORTHERN TRUST COMPANY
NORTHERN TRUST INVESTMENTS, N.A.
NORTHERN TRUST GLOBAL INVESTMENTS LTD
________________________________________
By: Robert P Browne
Title: Senior Vice President
EX-1
2
Xcert13g2014-12-browne.txt
Exhibit 1 to Form 13G
Filed by Northern Trust Corporation
CERTIFIED RESOLUTION
The undersigned certifies that the undersigned is the duly appointed, qualified
and acting Secretary or Assistant Secretary of Northern Trust Corporation, as
indicated below, and that the following resolution was duly adopted by the
Board of Directors of Northern Trust Corporation on April 15, 2014 and
remains in full force and effect:
RESOLVED, that each of the 'Executive Officers' of Northern Trust Corporation
(the 'Corporation'), as that term is defined in Rule 3b-7 under the Securities
Exchange Act of 1934 (the 'Executive Officers'), and each of the following other
officers of the Corporation or its subsidiaries, is hereby authorized to sign,
on behalf of the Corporation, any Statements on Form 13G,
and any amendments to such Statements, required to be filed with the Securities
and Exchange Commission by the Corporation with respect to any securities
beneficially owned by the Corporation and any of its direct or indirect
subsidiaries:
Robert P. Browne
James D. McDonald
Matt Peron
IN WITNESS WHEREOF, the undersigned has executed this certificate on
February 6, 2015.
/s/ Stephanie Greisch
Stephanie S Greisch
Secretary
Northern Trust Corporation