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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
November 28, 2016 Filed Nov 28, 2016 23:10 UTC
Leech WilsonExecutive Vice President
Exercise / conversionCommon Stock 11,399 $52.64 $600,043.36
Disclosure

SEC source: 0000073124-16-000529 · wf-form4_148037462054288.xml · nonDerivative · entry 3

Leech Wilson · CIK 0001666823 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,602.63

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 11,077 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 18, 2016 Filed Nov 22, 2016 22:36 UTC
FRADKIN STEVEN LPresident/Wealth Management
GiftCommon Stock 223 $0.00 $0.00
Disclosure

SEC source: 0000073124-16-000527 · wf-form4_147985415967285.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 94,749

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 12,326 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 21

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,325

Underlying: Common Stock · 12,326 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.

F10 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/10/2015.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 21,352 $0.00 Strike: $52.69 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 20

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,117

Underlying: Common Stock · 21,352 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.

F9 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/11/2014.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 48,110 $0.00 Strike: $43.65 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 19

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,110 shares

Expires 2022-02-13

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.

F8 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/13/2013.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 71,239 $0.00 Strike: $52.64 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 18

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 71,239 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.

F7 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/14/2012.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 58,836 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 17

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,836 shares

Expires 2020-02-15

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 became exercisable in four equal annual installments beginning 2/15/2011.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 90,270 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 16

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,270 shares

Expires 2019-07-21

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 became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
SaleCommon Stock 302,133 $80.98 $24,466,730.34
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 9

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,628

F3 · price: Price reflects the weighted average sales price from $80.59 to $81.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 12,326 $60.85 $750,037.10
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 8

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,761

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 21,352 $52.69 $1,125,036.88
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 7

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,435

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 48,110 $43.65 $2,100,001.50
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 6

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,083

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 71,239 $52.64 $3,750,020.96
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 5

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,973

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 58,836 $50.99 $3,000,047.64
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 4

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,734

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 90,270 $57.54 $5,194,135.80
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 3

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,898

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 11,455 $0.00 Strike: $43.65 $0.00
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · derivative · entry 7

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,455 shares

Expires 2022-02-13

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 2/13/2013.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 14,444 $0.00 Strike: $55.39 $0.00
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · derivative · entry 6

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,444 shares

Expires 2019-02-16

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.

F4 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/16/2010.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
SaleCommon Stock 21,205 $81.35 $1,725,026.75
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · nonDerivative · entry 4

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,357

F3 · price: Price reflects the weighted average sales price from $81.00 to $81.87. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 27,117 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
SaleCommon Stock 4,694 $80.86 $379,556.84
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · nonDerivative · entry 3

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,562

F2 · price: Price reflects the weighted average sales price from $80.64 to $80.99. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 27,117 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
Exercise / conversionCommon Stock 11,455 $43.65 $500,010.75
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · nonDerivative · entry 2

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,256

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 27,117 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 16, 2016 Filed Nov 16, 2016 23:37 UTC
Bowman BiffChief Financial Officer
Exercise / conversionCommon Stock 14,444 $55.39 $800,053.16
Disclosure

SEC source: 0000073124-16-000522 · wf-form4_147933945564405.xml · nonDerivative · entry 1

Bowman Biff · CIK 0001548048 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,801

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 27,117 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 200,000 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000524 · wf-form4_147933949037253.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2019-07-21

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 became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 50,387 $82.80 $4,172,043.60
Disclosure

SEC source: 0000073124-16-000524 · wf-form4_147933949037253.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,559

F4 · price: Price reflects the weighted average sales price from $82.68 to $83.09. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 79,968 $82.16 $6,570,170.88
Disclosure

SEC source: 0000073124-16-000524 · wf-form4_147933949037253.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,946

F3 · price: Price reflects the weighted average sales price from $81.68 to $82.674325. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 69,645 $81.21 $5,655,870.45
Disclosure

SEC source: 0000073124-16-000524 · wf-form4_147933949037253.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,914

F2 · price: Price reflects the weighted average sales price from $80.68 to $81.67. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionCommon Stock 200,000 $57.54 $11,508,000.00
Disclosure

SEC source: 0000073124-16-000524 · wf-form4_147933949037253.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,559

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 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 23:38 UTC
Cohodes Jeffrey D.EVP/Chief Risk Officer
SaleCommon Stock 10,000 $81.23 $812,300.00
Disclosure

SEC source: 0000073124-16-000523 · wf-form4_147933947236973.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,963

F1 · price: Price reflects the weighted average sales price from $81.16 to $81.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F2 · balance_after: Includes 24,295 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Dec 15, 2016 01:15 UTC
Karpinski JaneExecutive VP & Controller
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 244 $0.00 Strike: $43.65 $0.00
Disclosure

SEC source: 0000073124-16-000546 · wf-form4_148176452005558.xml · derivative · entry 4

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 244 shares

Expires 2022-02-13

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 2/13/2013.

Read SEC document
November 15, 2016 Filed Dec 15, 2016 01:15 UTC
Karpinski JaneExecutive VP & Controller
SaleCommon Stock 244 $81.30 $19,837.20
Disclosure

SEC source: 0000073124-16-000546 · wf-form4_148176452005558.xml · nonDerivative · entry 2

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,584

F2 · price: Price reflects the weighted average sales price from $81.29 to $81.30. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 10,542 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 15, 2016 Filed Dec 15, 2016 01:15 UTC
Karpinski JaneExecutive VP & Controller
Exercise / conversionCommon Stock 244 $43.65 $10,650.60
Disclosure

SEC source: 0000073124-16-000546 · wf-form4_148176452005558.xml · nonDerivative · entry 1

Karpinski Jane · CIK 0001578478 · Executive VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,828

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 10,542 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 65,079 $0.00 Strike: $52.64 $0.00
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · derivative · entry 12

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,079 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/14/2012.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
SaleCommon Stock 35,975 $81.54 $2,933,401.50
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · nonDerivative · entry 5

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,018

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F5 · price: Price reflects the weighted average sales price from $81.02 to $81.99. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
SaleCommon Stock 29,104 $80.64 $2,346,946.56
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · nonDerivative · entry 4

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,993

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F4 · price: Price reflects the weighted average sales price from $80.21 to $80.96. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionCommon Stock 65,079 $52.64 $3,425,758.56
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · nonDerivative · entry 3

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,097

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 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 00:38 UTC
MORRISON WILLIAM LVice Chairman
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 35,764 $0.00 Strike: $52.69 $0.00
Disclosure

SEC source: 0000073124-16-000515 · wf-form4_147917030869879.xml · derivative · entry 7

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,921

Underlying: Common Stock · 35,764 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 becomes exercisable in four equal annual installments beginning 2/11/2014.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
MORRISON WILLIAM LVice Chairman
SaleCommon Stock 1,932 $82.01 $158,443.32
Disclosure

SEC source: 0000073124-16-000515 · wf-form4_147917030869879.xml · nonDerivative · entry 3

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,756

F3 · price: Price reflects the weighted average sales price from $82.00 to $82.07. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 87,352 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
MORRISON WILLIAM LVice Chairman
SaleCommon Stock 53,832 $81.36 $4,379,771.52
Disclosure

SEC source: 0000073124-16-000515 · wf-form4_147917030869879.xml · nonDerivative · entry 2

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,688

F2 · price: Price reflects the weighted average sales price from $81.06 to $81.98. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 87,352 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
MORRISON WILLIAM LVice Chairman
Exercise / conversionCommon Stock 35,764 $52.69 $1,884,405.16
Disclosure

SEC source: 0000073124-16-000515 · wf-form4_147917030869879.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,520

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 87,352 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
Cohodes Jeffrey D.EVP/Chief Risk Officer
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 6,000 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000514 · wf-form4_147917028749508.xml · derivative · entry 4

Cohodes Jeffrey D. · CIK 0001514798 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2018-02-19

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 2/19/2009.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
Cohodes Jeffrey D.EVP/Chief Risk Officer
SaleCommon Stock 6,000 $80.91 $485,460.00
Disclosure

SEC source: 0000073124-16-000514 · wf-form4_147917028749508.xml · nonDerivative · entry 2

Cohodes Jeffrey D. · CIK 0001514798 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,963

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F3 · price: Price reflects the weighted average sales price from $80.62 to $81.20. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 24,295 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 15, 2016 00:38 UTC
Cohodes Jeffrey D.EVP/Chief Risk Officer
Exercise / conversionCommon Stock 6,000 $71.23 $427,380.00
Disclosure

SEC source: 0000073124-16-000514 · wf-form4_147917028749508.xml · nonDerivative · entry 1

Cohodes Jeffrey D. · CIK 0001514798 · EVP/Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,963

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 24,295 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 21,059 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · derivative · entry 15

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,059

Underlying: Common Stock · 21,059 shares

Expires 2018-02-19

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 2/19/2009.

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November 14, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
SaleCommon Stock 21,059 $80.95 $1,704,726.05
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 2

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,628

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F1 · balance_after: Includes 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 14, 2016 Filed Nov 16, 2016 23:38 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 21,059 $71.23 $1,500,032.57
Disclosure

SEC source: 0000073124-16-000525 · wf-form4_147933951144852.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,687

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 48,628 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 38,836 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000073124-16-000517 · wf-form4_147917034331466.xml · derivative · entry 8

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,836 shares

Expires 2020-02-15

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 2/15/2011.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC SaleCommon Stock 38,836 $80.00 $3,106,880.00
Disclosure

SEC source: 0000073124-16-000517 · wf-form4_147917034331466.xml · nonDerivative · entry 2

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,150

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F1 · balance_after: Includes 44,150 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC Exercise / conversionCommon Stock 38,836 $50.99 $1,980,247.64
Disclosure

SEC source: 0000073124-16-000517 · wf-form4_147917034331466.xml · nonDerivative · entry 1

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,986

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 44,150 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 6,160 $0.00 Strike: $52.64 $0.00
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · derivative · entry 11

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,079

Underlying: Common Stock · 6,160 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/14/2012.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
SaleCommon Stock 6,160 $80.00 $492,800.00
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · nonDerivative · entry 2

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,018

F2 · kind: This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.

F3 · price: Price reflects the weighted average sales price from $80.00 to $80.01. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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November 11, 2016 Filed Nov 15, 2016 00:39 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionCommon Stock 6,160 $52.64 $324,262.40
Disclosure

SEC source: 0000073124-16-000516 · wf-form4_147917032654301.xml · nonDerivative · entry 1

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,178

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 46,018 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

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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.