Tapewire

Nasdaq · USD

NTRS

NORTHERN TRUST CORP

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Tapewire entity
1970
SEC CIK
0000073124
Parsed reports
1,224

Last 12 months

Inside the activity.

5 purchase rows · 18 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202515
Dec 202501
Jan 202601
Feb 202623
Mar 202602
Apr 202603
May 202610
Jun 202602
Jul 202610
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 20, 2018 Filed Feb 22, 2018 22:05 UTC
Cohodes Jeffrey D.Executive Vice President
Tax withholdingCommon Stock 1,302 $105.15 $136,905.30
Disclosure

SEC source: 0000073124-18-000124 · wf-form4_151933711820542.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,048

F1 · balance_after: Reflects 1,302 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,938 previously reported stock units. The remaining 1,636 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 15,069 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:05 UTC
Cherecwich PeterPresident/C&IS
GrantCommon Stock 7,353 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000123 · wf-form4_151933709919752.xml · nonDerivative · entry 2

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,792

F3 · balance_after: Includes 23,462 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:05 UTC
Cherecwich PeterPresident/C&IS
Tax withholdingCommon Stock 1,263 $105.15 $132,804.45
Disclosure

SEC source: 0000073124-18-000123 · wf-form4_151933709919752.xml · nonDerivative · entry 1

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,439

F1 · balance_after: Reflects 1,263 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,849 previously reported stock units. The remaining 1,586 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 16,109 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
GrantCommon Stock 7,019 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000122 · wf-form4_151933708212595.xml · nonDerivative · entry 2

BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,873

F3 · balance_after: Includes 25,486 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
Tax withholdingCommon Stock 1,578 $105.15 $165,926.70
Disclosure

SEC source: 0000073124-18-000122 · wf-form4_151933708212595.xml · nonDerivative · entry 1

BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,854

F1 · balance_after: Reflects 1,578 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,561 previously reported stock units. The remaining 1,983 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 18,467 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
Bowman BiffChief Financial Officer
GrantCommon Stock 7,019 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000121 · wf-form4_151933706302602.xml · nonDerivative · entry 2

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,612

F3 · balance_after: Includes 25,986 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
Bowman BiffChief Financial Officer
Tax withholdingCommon Stock 1,578 $105.15 $165,926.70
Disclosure

SEC source: 0000073124-18-000121 · wf-form4_151933706302602.xml · nonDerivative · entry 1

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,593

F1 · balance_after: Reflects 1,578 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,561 previously reported stock units. The remaining 1,983 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 18,967 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
Blake Aileen BEVP and Controller
GrantCommon Stock 4,298 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000120 · wf-form4_151933704157861.xml · nonDerivative · entry 2

Blake Aileen B · CIK 0001322843 · EVP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,338

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 22:04 UTC
Blake Aileen BEVP and Controller
Tax withholdingCommon Stock 262 $105.15 $27,549.30
Disclosure

SEC source: 0000073124-18-000120 · wf-form4_151933704157861.xml · nonDerivative · entry 1

Blake Aileen B · CIK 0001322843 · EVP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,040

F1 · balance_after: Reflects 262 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 891 previously reported stock units. The remaining 629 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 16, 2018 Filed Feb 20, 2018 23:03 UTC
MORRISON WILLIAM LVice Chairman
SaleCommon Stock 20,000 $105.08 $2,101,600.00
Disclosure

SEC source: 0000073124-18-000102 · wf-form4_151916780834581.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,836

F1 · price: Price reflects the weighted average sales price from $105.00 to $105.38. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F2 · balance_after: Includes 51,011 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 16, 2018 Filed Feb 20, 2018 23:03 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 6,898 $0.00 Strike: $58.25 $0.00
Disclosure

SEC source: 0000073124-18-000101 · wf-form4_151916779072443.xml · derivative · entry 4

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,795

Underlying: Common Stock · 6,898 shares

Expires 2026-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/16/2017.

Read SEC document
February 16, 2018 Filed Feb 20, 2018 23:03 UTC
Cohodes Jeffrey D.Executive Vice President
SaleCommon Stock 6,898 $105.27 $726,152.46
Disclosure

SEC source: 0000073124-18-000101 · wf-form4_151916779072443.xml · nonDerivative · entry 2

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,350

F2 · price: Price reflects the weighted average sales price from $104.98 to $105.56. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 18,007 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 16, 2018 Filed Feb 20, 2018 23:03 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionCommon Stock 6,898 $58.25 $401,808.50
Disclosure

SEC source: 0000073124-18-000101 · wf-form4_151916779072443.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,248

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 18,007 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 14, 2018 Filed Feb 14, 2018 23:34 UTC GiftCommon Stock 936 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000095 · wf-form4_151865123019894.xml · nonDerivative · entry 2

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 32,984

F1 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F3 · balance_after: Reflects the January 31, 2018 distribution of 2,626 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 6,898 $0.00 Strike: $58.25 $0.00
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · derivative · entry 8

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,693

Underlying: Common Stock · 6,898 shares

Expires 2026-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/16/2017.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 5,084 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · derivative · entry 7

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,084 shares

Expires 2024-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/10/2015.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
SaleCommon Stock 500 $100.00 $50,000.00
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · nonDerivative · entry 5

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,852

F3 · price: Price reflects the weighted average sales price from $99.87 to $100.15. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
SaleCommon Stock 5,282 $99.12 $523,551.84
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · nonDerivative · entry 4

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,352

F2 · price: Price reflects the weighted average sales price from $98.83 to $99.76. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
SaleCommon Stock 6,200 $98.33 $609,646.00
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · nonDerivative · entry 3

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,634

F1 · price: Price reflects the weighted average sales price from $97.81 to $98.80. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionCommon Stock 6,898 $58.25 $401,808.50
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · nonDerivative · entry 2

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,834

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 12, 2018 Filed Feb 12, 2018 23:56 UTC
Cohodes Jeffrey D.Executive Vice President
Exercise / conversionCommon Stock 5,084 $60.85 $309,361.40
Disclosure

SEC source: 0000073124-18-000066 · wf-form4_151847977659765.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,936

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:34 UTC
WADDELL FREDERICK HDirector · Chairman
Tax withholdingCommon Stock 6,052 $98.88 $598,421.76
Disclosure

SEC source: 0000073124-18-000098 · wf-form4_151865128419984.xml · nonDerivative · entry 1

WADDELL FREDERICK H · CIK 0001223690 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,078

F1 · balance_after: Reflects 6,052 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 13,661 previously reported stock units. The remaining 7,609 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Includes 186,958 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:34 UTC
Thomas Shundrawn APresident / Asset Management
Tax withholdingCommon Stock 723 $98.88 $71,490.24
Disclosure

SEC source: 0000073124-18-000097 · wf-form4_151865126621924.xml · nonDerivative · entry 1

Thomas Shundrawn A · CIK 0001717894 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,570

F1 · balance_after: Reflects 723 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,465 previously reported stock units. The remaining 1,742 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 5,297 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:34 UTC
St Clair JoyceExecutive Vice President
Tax withholdingCommon Stock 1,820 $98.88 $179,961.60
Disclosure

SEC source: 0000073124-18-000096 · wf-form4_151865124918919.xml · nonDerivative · entry 1

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,503

F1 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:34 UTC Tax withholdingCommon Stock 1,820 $98.88 $179,961.60
Disclosure

SEC source: 0000073124-18-000095 · wf-form4_151865123019894.xml · nonDerivative · entry 1

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,140

F1 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:33 UTC
Potter Stephen NVice Chairman
Tax withholdingCommon Stock 1,820 $98.88 $179,961.60
Disclosure

SEC source: 0000073124-18-000094 · wf-form4_151865121210091.xml · nonDerivative · entry 1

Potter Stephen N · CIK 0001378549 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,561

F1 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:33 UTC
Pembleton Susan GillianEVP/Human Resources
Tax withholdingCommon Stock 338 $98.88 $33,421.44
Disclosure

SEC source: 0000073124-18-000093 · wf-form4_151865119337895.xml · nonDerivative · entry 1

Pembleton Susan Gillian · CIK 0001618993 · EVP/Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,329

F1 · balance_after: Reflects 338 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 719 previously reported stock units. The remaining 381 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 18,202 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:33 UTC
Parker TeresaExecutive Vice President
Tax withholdingCommon Stock 450 $98.88 $44,496.00
Disclosure

SEC source: 0000073124-18-000092 · wf-form4_151865117313397.xml · nonDerivative · entry 1

Parker Teresa · CIK 0001705976 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,534

F1 · balance_after: Reflects 450 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,027 previously reported stock units. The remaining 577 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 6,645 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:32 UTC
O'Grady MichaelDirector · President and CEO
Tax withholdingCommon Stock 1,820 $98.88 $179,961.60
Disclosure

SEC source: 0000073124-18-000091 · wf-form4_151865115570004.xml · nonDerivative · entry 1

O'Grady Michael · CIK 0001527742 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,722

F1 · balance_after: Reflects the February 1, 2018 transfer of 69,588 shares directly held by the reporting person into the reporting person's trust account.

F2 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F3 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:32 UTC
MORRISON WILLIAM LVice Chairman
Tax withholdingCommon Stock 2,628 $98.88 $259,856.64
Disclosure

SEC source: 0000073124-18-000090 · wf-form4_151865113876264.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,836

F1 · balance_after: Reflects 2,628 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 6,676 previously reported stock units. The remaining 4,048 shares were distributed to the reporting person as shares of common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:32 UTC
Leech WilsonEVP/Chief Risk Officer
Tax withholdingCommon Stock 186 $98.88 $18,391.68
Disclosure

SEC source: 0000073124-18-000089 · wf-form4_151865111698876.xml · nonDerivative · entry 1

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,392.63

F1 · balance_after: Reflects 186 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 395 previously reported stock units. The remaining 209 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 12,066 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:31 UTC
FRADKIN STEVEN LPresident/Wealth Management
Tax withholdingCommon Stock 1,820 $98.88 $179,961.60
Disclosure

SEC source: 0000073124-18-000088 · wf-form4_151865109964351.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,539

F1 · balance_after: Reflects 1,820 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,108 previously reported stock units. The remaining 2,288 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:31 UTC
Cohodes Jeffrey D.Executive Vice President
Tax withholdingCommon Stock 1,502 $98.88 $148,517.76
Disclosure

SEC source: 0000073124-18-000087 · wf-form4_151865108142350.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,350

F1 · balance_after: Reflects 1,502 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,389 previously reported stock units. The remaining 1,887 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 18,007 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:31 UTC
Cherecwich PeterPresident/C&IS
Tax withholdingCommon Stock 469 $98.88 $46,374.72
Disclosure

SEC source: 0000073124-18-000086 · wf-form4_151865106383966.xml · nonDerivative · entry 1

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,702

F1 · balance_after: Reflects 469 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,058 previously reported stock units. The remaining 589 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 18,958 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:31 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
Tax withholdingCommon Stock 1,639 $98.88 $162,064.32
Disclosure

SEC source: 0000073124-18-000085 · wf-form4_151865104672626.xml · nonDerivative · entry 1

BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,432

F1 · balance_after: Reflects 1,639 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,698 previously reported stock units. The remaining 2,059 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 22,028 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:30 UTC
Bowman BiffChief Financial Officer
Tax withholdingCommon Stock 1,502 $98.88 $148,517.76
Disclosure

SEC source: 0000073124-18-000084 · wf-form4_151865102667763.xml · nonDerivative · entry 1

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,171

F1 · balance_after: Reflects 1,502 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,389 previously reported stock units. The remaining 1,887 shares were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 22,528 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 23:30 UTC
Blake Aileen BEVP and Controller
Tax withholdingCommon Stock 301 $98.88 $29,762.88
Disclosure

SEC source: 0000073124-18-000083 · wf-form4_151865100942739.xml · nonDerivative · entry 1

Blake Aileen B · CIK 0001322843 · EVP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,931

F1 · balance_after: Reflects 301 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,027 previously reported stock units. The remaining 726 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F2 · balance_after: Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 01, 2018 Filed Feb 1, 2018 23:55 UTC
WADDELL FREDERICK HDirector · Chairman
GiftCommon Stock 5,728 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000064 · wf-form4_151752931055004.xml · nonDerivative · entry 1

WADDELL FREDERICK H · CIK 0001223690 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 95,379

Read SEC document
January 31, 2018 Filed Feb 1, 2018 23:55 UTC
Potter Stephen NVice Chairman
SaleCommon Stock 3,551 $105.55 $374,808.05
Disclosure

SEC source: 0000073124-18-000063 · wf-form4_151752929351930.xml · nonDerivative · entry 2

Potter Stephen N · CIK 0001378549 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse as Trustee for Son

Disclosed balance after: 0

F1 · price: Price reflects the weighted average sales price from $105.49 to $105.65. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

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January 31, 2018 Filed Feb 1, 2018 23:55 UTC
Potter Stephen NVice Chairman
SaleCommon Stock 3,552 $105.55 $374,913.60
Disclosure

SEC source: 0000073124-18-000063 · wf-form4_151752929351930.xml · nonDerivative · entry 1

Potter Stephen N · CIK 0001378549 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse as Trustee for Daughter

Disclosed balance after: 0

F1 · price: Price reflects the weighted average sales price from $105.49 to $105.65. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

Read SEC document
January 31, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 1,484 $0.00 Strike: $70.21 $0.00
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · derivative · entry 11

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484

Underlying: Common Stock · 1,484 shares

Expires 2025-02-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/17/2016.

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January 31, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 668 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · derivative · entry 10

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 593

Underlying: Common Stock · 668 shares

Expires 2024-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/10/2015.

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January 31, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
SaleCommon Stock 2,152 $105.85 $227,789.20
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · nonDerivative · entry 6

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,578.63

F3 · price: Price reflects the weighted average sales price from $105.43 to $106.13. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
January 31, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionCommon Stock 1,484 $70.21 $104,191.64
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · nonDerivative · entry 5

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,730.63

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
January 31, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionCommon Stock 668 $60.85 $40,647.80
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · nonDerivative · entry 4

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,246.63

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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January 30, 2018 Filed Jan 30, 2018 23:00 UTC
St Clair JoyceExecutive Vice President
GiftCommon Stock 126 $0.00 $0.00
Disclosure

SEC source: 0000073124-18-000058 · wf-form4_151735322867396.xml · nonDerivative · entry 1

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 31,754

Read SEC document
January 30, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 1,112 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · derivative · entry 9

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,261

Underlying: Common Stock · 1,112 shares

Expires 2024-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/10/2015.

Read SEC document
January 30, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 5,694 $0.00 Strike: $52.69 $0.00
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · derivative · entry 8

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,694 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/11/2014.

Read SEC document
January 30, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
SaleCommon Stock 6,806 $106.27 $723,273.62
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · nonDerivative · entry 3

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,578.63

F2 · price: Price reflects the weighted average sales price from $106.00 to $106.56. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
January 30, 2018 Filed Feb 1, 2018 23:54 UTC
Leech WilsonEVP/Chief Risk Officer
Exercise / conversionCommon Stock 1,112 $60.85 $67,665.20
Disclosure

SEC source: 0000073124-18-000062 · wf-form4_151752927024859.xml · nonDerivative · entry 2

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,384.63

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.