0000073124-16-000497.txt : 20161109
0000073124-16-000497.hdr.sgml : 20161109
20161109202323
ACCESSION NUMBER: 0000073124-16-000497
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161107
FILED AS OF DATE: 20161109
DATE AS OF CHANGE: 20161109
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: WADDELL FREDERICK H
CENTRAL INDEX KEY: 0001223690
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36609
FILM NUMBER: 161985645
MAIL ADDRESS:
STREET 1: 50 S. LA SALLE ST.
CITY: CHICAGO
STATE: IL
ZIP: 60675
4
1
wf-form4_147874099092536.xml
FORM 4
X0306
4
2016-11-07
0
0000073124
NORTHERN TRUST CORP
NTRS
0001223690
WADDELL FREDERICK H
50 SOUTH LASALLE STREET
CHICAGO
IL
60603
1
1
0
0
Chairman, President and CEO
Common Stock
2016-11-07
5
G
0
E
1500
0
D
72342
I
By Trust
Common Stock
2016-11-07
4
M
0
70808
57.54
A
283367
D
Common Stock
2016-11-07
4
M
0
32406
71.23
A
315773
D
Common Stock
2016-11-07
4
S
0
103214
73.31
D
212559
D
Common Stock
2016-11-08
4
M
0
38939
71.23
A
251498
D
Common Stock
2016-11-08
4
S
0
38939
74.13
D
212559
D
Common Stock
2016-11-09
4
M
0
53107
71.23
A
265666
D
Common Stock
2016-11-09
4
S
0
100
74.32
D
265566
D
Common Stock
2016-11-09
4
S
0
53007
75.20
D
212559
D
Common Stock
17241
I
2014 GRAT
Common Stock
39690
I
2015 GRAT
Common Stock
34188
I
2016-1 GRAT
Common Stock
29087
I
2016-2 GRAT
Common Stock
8710
I
By Spouse
Common Stock
34264.45
I
401(k) as of 9-30-16
Employee Stock Option (right-to-buy)
57.54
2016-11-07
4
M
0
70808
0
D
2019-07-21
Common Stock
70808.0
200000
D
Employee Stock Option (right-to-buy)
71.23
2016-11-07
4
M
0
32406
0
D
2018-02-19
Common Stock
32406.0
92046
D
Employee Stock Option (right-to-buy)
71.23
2016-11-08
4
M
0
38939
0
D
2018-02-19
Common Stock
38939.0
53107
D
Employee Stock Option (right-to-buy)
71.23
2016-11-09
4
M
0
53107
0
D
2018-02-19
Common Stock
53107.0
0
D
Includes 212,439 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 $73.00 to $74.00. 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 $74.00 to $74.43. 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 $74.85 to $75.71. 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 7/21/2010.
This option became exercisable in four equal annual installments beginning 2/19/2009.
Bradley R. Gabriel, Attorney-in-Fact for Frederick H. Waddell
2016-11-09