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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 21, 2017 Filed Feb 24, 2017 00:15 UTC
O'Grady MichaelDirector · President
GrantEmployee Stock Option (right-to-buy) · Derivative 40,649 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000105 · wf-form4_148789531993504.xml · derivative · entry 2

O'Grady Michael · CIK 0001527742 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,649

Underlying: Common Stock · 40,649 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:15 UTC
O'Grady MichaelDirector · President
GrantCommon Stock 8,943 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000105 · wf-form4_148789531993504.xml · nonDerivative · entry 1

O'Grady Michael · CIK 0001527742 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,471

F1 · balance_after: Includes 29,830 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:15 UTC
MORRISON WILLIAM LVice Chairman
GrantEmployee Stock Option (right-to-buy) · Derivative 15,486 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000104 · wf-form4_148789530365696.xml · derivative · entry 8

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,486

Underlying: Common Stock · 15,486 shares

Expires 2027-02-21

F3 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:15 UTC
MORRISON WILLIAM LVice Chairman
GrantCommon Stock 3,407 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000104 · wf-form4_148789530365696.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,146

F1 · balance_after: Includes 76,135 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:15 UTC
Levy Susan CohenExecutive VP & General Counsel
GrantEmployee Stock Option (right-to-buy) · Derivative 20,906 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000103 · wf-form4_148789528714701.xml · derivative · entry 2

Levy Susan Cohen · CIK 0001607570 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,906

Underlying: Common Stock · 20,906 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:15 UTC
Levy Susan CohenExecutive VP & General Counsel
GrantCommon Stock 4,600 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000103 · wf-form4_148789528714701.xml · nonDerivative · entry 1

Levy Susan Cohen · CIK 0001607570 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,834

F1 · 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 21, 2017 Filed Feb 24, 2017 00:14 UTC
Leech WilsonEVP/Chief Risk Officer
Tax withholdingCommon Stock 1,342 $87.84 $117,881.28
Disclosure

SEC source: 0000073124-17-000102 · wf-form4_148789527109600.xml · nonDerivative · entry 2

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,254.63

F2 · balance_after: Includes 14,012 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:14 UTC
Leech WilsonEVP/Chief Risk Officer
GrantCommon Stock 7,134 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000102 · wf-form4_148789527109600.xml · nonDerivative · entry 1

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,596.63

F1 · balance_after: Includes 16,866 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:14 UTC
FRADKIN STEVEN LPresident/Wealth Management
GrantEmployee Stock Option (right-to-buy) · Derivative 27,874 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000100 · wf-form4_148789523793548.xml · derivative · entry 9

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,874

Underlying: Common Stock · 27,874 shares

Expires 2027-02-21

F3 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:14 UTC
FRADKIN STEVEN LPresident/Wealth Management
SaleCommon Stock 21,059 $87.62 $1,845,189.58
Disclosure

SEC source: 0000073124-17-000100 · wf-form4_148789523793548.xml · nonDerivative · entry 3

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,907

F2 · price: Price reflects the weighted average sales price from $87.46 to $87.835. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 45,907 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:14 UTC
FRADKIN STEVEN LPresident/Wealth Management
GrantCommon Stock 6,133 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000100 · wf-form4_148789523793548.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,907

F1 · balance_after: Includes 45,907 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:14 UTC
Karpinski JaneExecutive VP & Controller
GrantCommon Stock 3,407 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000101 · wf-form4_148789525608208.xml · nonDerivative · entry 1

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,754

F1 · balance_after: Includes 12,383 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Cohodes Jeffrey D.Executive Vice President
GrantEmployee Stock Option (right-to-buy) · Derivative 20,906 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000099 · wf-form4_148789522121313.xml · derivative · entry 3

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,906

Underlying: Common Stock · 20,906 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Cohodes Jeffrey D.Executive Vice President
GrantCommon Stock 4,600 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000099 · wf-form4_148789522121313.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,658

F1 · balance_after: Includes 21,591 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Cherecwich PeterPresident/C&IS
GrantEmployee Stock Option (right-to-buy) · Derivative 26,132 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000098 · wf-form4_148789520485304.xml · derivative · entry 2

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,132

Underlying: Common Stock · 26,132 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Cherecwich PeterPresident/C&IS
GrantCommon Stock 5,749 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000098 · wf-form4_148789520485304.xml · nonDerivative · entry 1

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,629

F1 · balance_after: Includes 20,016 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
GrantEmployee Stock Option (right-to-buy) · Derivative 25,809 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000097 · wf-form4_148789518863709.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,809

Underlying: Common Stock · 25,809 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
GrantCommon Stock 5,678 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000097 · wf-form4_148789518863709.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,132

F1 · balance_after: Includes 25,726 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Bowman BiffChief Financial Officer
GrantEmployee Stock Option (right-to-buy) · Derivative 26,132 $0.00 Strike: $88.06 $0.00
Disclosure

SEC source: 0000073124-17-000096 · wf-form4_148789517205042.xml · derivative · entry 3

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,132

Underlying: Common Stock · 26,132 shares

Expires 2027-02-21

F2 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Read SEC document
February 21, 2017 Filed Feb 24, 2017 00:13 UTC
Bowman BiffChief Financial Officer
GrantCommon Stock 5,749 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000096 · wf-form4_148789517205042.xml · nonDerivative · entry 1

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,365

F1 · balance_after: Includes 25,917 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 14, 2017 Filed Feb 15, 2017 02:45 UTC GiftCommon Stock 63 $0.00 $0.00
Disclosure

SEC source: 0000073124-17-000067 · wf-form4_148712670173688.xml · nonDerivative · entry 3

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 24,058

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:55 UTC
Karpinski JaneExecutive VP & Controller
Tax withholdingCommon Stock 279 $86.31 $24,079.10
Disclosure

SEC source: 0000073124-17-000074 · wf-form4_148712733974303.xml · nonDerivative · entry 2

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,347

F3 · balance_after: On February 11, 2017, 593 already reported stock units, granted on February 11, 2013, vested. Of this amount, 279 were withheld in payment of Federal, State and Medicare taxes.

F4 · balance_after: Includes 8,976 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:56 UTC
Leech WilsonEVP/Chief Risk Officer
Tax withholdingCommon Stock 447 $86.31 $38,578.34
Disclosure

SEC source: 0000073124-17-000075 · wf-form4_148712735495203.xml · nonDerivative · entry 2

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,462.63

F3 · balance_after: On February 11, 2017, 949 already reported stock units, granted on February 11, 2013, vested. Of this amount, 447 were withheld in payment of Federal, State and Medicare taxes.

F4 · balance_after: Includes 9,732 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:53 UTC
St Clair JoyceExecutive Vice President
Tax withholdingCommon Stock 2,169 $86.31 $187,195.55
Disclosure

SEC source: 0000073124-17-000071 · wf-form4_148712720547111.xml · nonDerivative · entry 2

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,106

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

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:52 UTC
WADDELL FREDERICK HDirector · Chairman and CEO
Tax withholdingCommon Stock 7,210 $86.31 $622,259.05
Disclosure

SEC source: 0000073124-17-000070 · wf-form4_148712713934079.xml · nonDerivative · entry 2

WADDELL FREDERICK H · CIK 0001223690 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,122

F3 · balance_after: On February 11, 2017, 15,776 already reported stock units, granted on February 11, 2013, vested. Of this amount, 7,210 were withheld in payment of Federal, State and Medicare taxes and the remaining 8,566 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

F4 · balance_after: Includes 183,002 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:45 UTC Tax withholdingCommon Stock 2,169 $86.31 $187,195.55
Disclosure

SEC source: 0000073124-17-000067 · wf-form4_148712670173688.xml · nonDerivative · entry 2

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,296

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

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:42 UTC
Cohodes Jeffrey D.Executive Vice President
Tax withholdingCommon Stock 1,789 $86.31 $154,399.65
Disclosure

SEC source: 0000073124-17-000063 · wf-form4_148712652595210.xml · nonDerivative · entry 2

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,058

F3 · balance_after: On February 11, 2017, 3,914 already reported stock units, granted on February 11, 2013, vested. Of this amount, 1,789 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,125 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 16,991 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:42 UTC
Potter Stephen NPresident / Asset Management
Tax withholdingCommon Stock 2,169 $86.31 $187,195.55
Disclosure

SEC source: 0000073124-17-000065 · wf-form4_148712655867670.xml · nonDerivative · entry 2

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,164

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

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:42 UTC
Pembleton Susan GillianEVP, Human Resources
Tax withholdingCommon Stock 265 $86.31 $22,870.83
Disclosure

SEC source: 0000073124-17-000064 · wf-form4_148712654214835.xml · nonDerivative · entry 2

Pembleton Susan Gillian · CIK 0001618993 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,111

F3 · balance_after: On February 11, 2017, 562 already reported stock units, granted on February 11, 2013, vested. Of this amount, 265 were withheld in payment of Federal, State and Medicare taxes.

F4 · balance_after: Includes 14,321 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:38 UTC
O'Grady MichaelDirector · President
Tax withholdingCommon Stock 2,169 $86.31 $187,195.55
Disclosure

SEC source: 0000073124-17-000059 · wf-form4_148712631344721.xml · nonDerivative · entry 2

O'Grady Michael · CIK 0001527742 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,528

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 20,887 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:37 UTC
Cherecwich PeterPresident/C&IS
Tax withholdingCommon Stock 381 $86.31 $32,882.21
Disclosure

SEC source: 0000073124-17-000056 · wf-form4_148712626437064.xml · nonDerivative · entry 2

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,880

F3 · balance_after: On February 11, 2017, 1,222 already reported stock units, granted on February 11, 2013, vested. Of this amount, 381 were withheld in payment of Federal, State and Medicare taxes and the remaining 841 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 14,267 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Tax withholdingCommon Stock 2,169 $86.31 $187,195.55
Disclosure

SEC source: 0000073124-17-000057 · wf-form4_148712628100074.xml · nonDerivative · entry 2

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,774

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

F3 · balance_after: On February 11, 2017, 4,745 already reported stock units, granted on February 11, 2013, vested. Of this amount, 2,169 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,576 were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:38 UTC
MORRISON WILLIAM LVice Chairman
Tax withholdingCommon Stock 3,334 $86.31 $287,740.87
Disclosure

SEC source: 0000073124-17-000058 · wf-form4_148712629773516.xml · nonDerivative · entry 2

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,739

F3 · balance_after: On February 11, 2017, 7,947 already reported stock units, granted on February 11, 2013, vested. Of this amount, 3,334 were withheld in payment of Federal, State and Medicare taxes and the remaining 4,613 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 72,728 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:37 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
Tax withholdingCommon Stock 4,555 $86.31 $393,119.28
Disclosure

SEC source: 0000073124-17-000055 · wf-form4_148712623910786.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,454

F3 · balance_after: On February 11, 2017, 9,964 already reported stock units, granted on February 11, 2013, vested. Of this amount, 4,555 were withheld in payment of Federal, State and Medicare taxes and the remaining 5,409 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 20,048 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 11, 2017 Filed Feb 15, 2017 02:37 UTC
Bowman BiffChief Financial Officer
Tax withholdingCommon Stock 1,627 $86.31 $140,418.24
Disclosure

SEC source: 0000073124-17-000054 · wf-form4_148712621473074.xml · nonDerivative · entry 2

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,616

F3 · balance_after: On February 11, 2017, 3,559 already reported stock units, granted on February 11, 2013, vested. Of this amount, 1,627 were withheld in payment of Federal, State and Medicare taxes and the remaining 1,932 were distributed to the reporting person as shares of common stock.

F4 · balance_after: Includes 20,168 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 10, 2017 Filed Feb 15, 2017 02:55 UTC
Karpinski JaneExecutive VP & Controller
Tax withholdingCommon Stock 458 $85.66 $39,229.99
Disclosure

SEC source: 0000073124-17-000074 · wf-form4_148712733974303.xml · nonDerivative · entry 1

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,626

F1 · balance_after: On February 10, 2017, 973 already reported stock units, granted on February 10, 2014, vested. Of this amount, 458 were withheld in payment of Federal, State and Medicare taxes.

F2 · balance_after: Includes 9,569 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
February 10, 2017 Filed Feb 15, 2017 02:56 UTC
Leech WilsonEVP/Chief Risk Officer
Tax withholdingCommon Stock 187 $85.66 $16,017.49
Disclosure

SEC source: 0000073124-17-000075 · wf-form4_148712735495203.xml · nonDerivative · entry 1

Leech Wilson · CIK 0001666823 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,909.63

F1 · balance_after: On February 10, 2017, 396 already reported stock units, granted on February 10, 2014, vested. Of this amount, 187 were withheld in payment of Federal, State and Medicare taxes.

F2 · balance_after: Includes 10,681 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:53 UTC
St Clair JoyceExecutive Vice President
Tax withholdingCommon Stock 1,878 $85.66 $160,860.09
Disclosure

SEC source: 0000073124-17-000071 · wf-form4_148712720547111.xml · nonDerivative · entry 1

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,851

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 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 10, 2017 Filed Feb 15, 2017 02:52 UTC
WADDELL FREDERICK HDirector · Chairman and CEO
Tax withholdingCommon Stock 6,244 $85.66 $534,829.82
Disclosure

SEC source: 0000073124-17-000070 · wf-form4_148712713934079.xml · nonDerivative · entry 1

WADDELL FREDERICK H · CIK 0001223690 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,898

F1 · balance_after: On February 10, 2017, 13,661 already reported stock units, granted on February 10, 2014, vested. Of this amount, 6,244 were withheld in payment of Federal, State and Medicare taxes and the remaining 7,417 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 198,778 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:45 UTC Tax withholdingCommon Stock 1,878 $85.66 $160,860.09
Disclosure

SEC source: 0000073124-17-000067 · wf-form4_148712670173688.xml · nonDerivative · entry 1

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,041

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 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 10, 2017 Filed Feb 15, 2017 02:42 UTC
Cohodes Jeffrey D.Executive Vice President
Tax withholdingCommon Stock 1,550 $85.66 $132,765.25
Disclosure

SEC source: 0000073124-17-000063 · wf-form4_148712652595210.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,847

F1 · balance_after: On February 10, 2017, 3,390 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,550 were withheld in payment of Federal, State and Medicare taxes and the remaining 1,840 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 20,905 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:42 UTC
Potter Stephen NPresident / Asset Management
Tax withholdingCommon Stock 1,878 $85.66 $160,860.09
Disclosure

SEC source: 0000073124-17-000065 · wf-form4_148712655867670.xml · nonDerivative · entry 1

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,909

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 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 10, 2017 Filed Feb 15, 2017 02:42 UTC
Pembleton Susan GillianEVP, Human Resources
Tax withholdingCommon Stock 339 $85.66 $29,037.05
Disclosure

SEC source: 0000073124-17-000064 · wf-form4_148712654214835.xml · nonDerivative · entry 1

Pembleton Susan Gillian · CIK 0001618993 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,376

F1 · balance_after: On February 10, 2017, 720 already reported stock units, granted on February 10, 2014, vested. Of this amount, 339 were withheld in payment of Federal, State and Medicare taxes.

F2 · balance_after: Includes 14,883 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:38 UTC
O'Grady MichaelDirector · President
Tax withholdingCommon Stock 1,878 $85.66 $160,860.09
Disclosure

SEC source: 0000073124-17-000059 · wf-form4_148712631344721.xml · nonDerivative · entry 1

O'Grady Michael · CIK 0001527742 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,697

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 25,632 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:37 UTC
Cherecwich PeterPresident/C&IS
Tax withholdingCommon Stock 330 $85.66 $28,266.15
Disclosure

SEC source: 0000073124-17-000056 · wf-form4_148712626437064.xml · nonDerivative · entry 1

Cherecwich Peter · CIK 0001614598 · President/C&IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,261

F1 · balance_after: On February 10, 2017, 1,058 already reported stock units, granted on February 10, 2014, vested. Of this amount, 330 were withheld in payment of Federal, State and Medicare taxes and the remaining 728 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 15,489 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Tax withholdingCommon Stock 1,878 $85.66 $160,860.09
Disclosure

SEC source: 0000073124-17-000057 · wf-form4_148712628100074.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,519

F1 · balance_after: On February 10, 2017, 4,109 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,878 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,231 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 10, 2017 Filed Feb 15, 2017 02:38 UTC
MORRISON WILLIAM LVice Chairman
Tax withholdingCommon Stock 2,802 $85.66 $240,005.31
Disclosure

SEC source: 0000073124-17-000058 · wf-form4_148712629773516.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,073

F1 · balance_after: On February 10, 2017, 6,667 already reported stock units, granted on February 10, 2014, vested. Of this amount, 2,802 were withheld in payment of Federal, State and Medicare taxes and the remaining 3,875 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 80,675 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:37 UTC
BROWNE ROBERT PEVP & Chief Investment Officer
Tax withholdingCommon Stock 1,690 $85.66 $144,756.95
Disclosure

SEC source: 0000073124-17-000055 · wf-form4_148712623910786.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,009

F1 · balance_after: On February 10, 2017, 3,698 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,690 were withheld in payment of Federal, State and Medicare taxes and the remaining 2,008 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 30,012 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 10, 2017 Filed Feb 15, 2017 02:37 UTC
Bowman BiffChief Financial Officer
Tax withholdingCommon Stock 1,550 $85.66 $132,765.25
Disclosure

SEC source: 0000073124-17-000054 · wf-form4_148712621473074.xml · nonDerivative · entry 1

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,243

F1 · balance_after: On February 10, 2017, 3,390 already reported stock units, granted on February 10, 2014, vested. Of this amount, 1,550 were withheld in payment of Federal, State and Medicare taxes and the remaining 1,840 were distributed to the reporting person as shares of common stock.

F2 · balance_after: Includes 23,727 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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February 09, 2017 Filed Feb 10, 2017 00:33 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 56,991 $0.00 Strike: $52.64 $0.00
Disclosure

SEC source: 0000073124-17-000047 · wf-form4_148668681562663.xml · derivative · entry 7

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,991 shares

Expires 2021-02-14

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 became exercisable in four equal annual installments beginning 2/14/2012.

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