Accession Number: | 0000073124-19-000251 |
Date: | 2019-12-11 |
Issuer: | NORTHERN TRUST CORP (NTRS) |
Original Submission Date: |
BROWNE ROBERT P
50 S LASALLE ST
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 | 2019-12-11 | M | 356 | a | $52.64 | 33,219 | direct | ||
COMMON STOCK | 2019-12-11 | M | 711 | a | $52.69 | 33,930 | direct | ||
COMMON STOCK | 2019-12-11 | M | 1,110 | a | $60.85 | 35,040 | direct | ||
COMMON STOCK | 2019-12-11 | M | 11,869 | a | $70.21 | 46,909 | direct | ||
COMMON STOCK | 2019-12-11 | S | 14,046 | d | $109.28 | 32,863 | direct |
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) | 52.64 | 2019-12-11 | deemed execution date | M | 356 (d) | 2021-02-14 | common stock 356 | $52.64 | 0 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) | 52.69 | 2019-12-11 | deemed execution date | M | 711 (d) | 2023-02-11 | common stock 711 | $52.69 | 0 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) | 60.85 | 2019-12-11 | deemed execution date | M | 1,110 (d) | 2024-02-10 | common stock 1,110 | $60.85 | 0 | direct | ||
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) | 70.21 | 2019-12-11 | deemed execution date | M | 11,869 (d) | 2025-02-17 | common stock 11,869 | $70.21 | 0 | direct |
ID | footnote |
---|---|
f1 | includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock. |
f2 | price reflects the weighted average sales price from $109.23 to $109.41. information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. |
f3 | this option became exercisable in four equal annual installments beginning 2/14/2012. |
f4 | this option became exercisable in four equal annual installments beginning 2/11/2014. |
f5 | this option became exercisable in four equal annual installments beginning 2/10/2015. |
f6 | this option became exercisable in four equal annual installments beginning 2/17/2016. |