Accession Number: | 0000073124-17-000297 |
Date: | 2017-10-18 |
Issuer: | NORTHERN TRUST CORP (NTRS) |
Original Submission Date: |
ST CLAIR JOYCE
50 SOUTH LASALLE STREET
CHICAGO, IL 60603
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2017-10-18 | M | 7,665 | a | $58.25 | 37,520 | direct | ||
COMMON STOCK | 2017-10-18 | S | 7,665 | d | $95.00 | 29,855 | direct | ||
COMMON STOCK | 2017-10-18 | 0 | $0.00 | 21,939 | indirect | ||||
COMMON STOCK | 2017-10-18 | 0 | $0.00 | 7,692 | indirect | ||||
COMMON STOCK | 2017-10-18 | 0 | $0.00 | 5,101 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) | 58.25 | 2017-10-18 | deemed execution date | M | 7,665 (d) | 2026-02-16 | common stock 7,665 | $58.25 | 22,992 | direct |
ID | footnote |
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f1 | includes 29,855 stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock. |
f2 | this transaction was effected pursuant to a trading plan adopted in accordance with sec rule 10b5-1. |
f3 | this option becomes exercisable in four equal annual installments beginning 2/16/2017. |