Tapewire

Nasdaq · USD

NTRS

NORTHERN TRUST CORP

Export transactions ↓
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

JSON API
Reset

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 10, 2016 Filed Nov 10, 2016 23:39 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 6,588 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000508 · wf-form4_147882118253803.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 · 6,588 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.

F3 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
St Clair JoyceExecutive Vice President
SaleCommon Stock 6,588 $78.00 $513,864.00
Disclosure

SEC source: 0000073124-16-000508 · wf-form4_147882118253803.xml · nonDerivative · entry 2

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,960

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

F1 · balance_after: Includes 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionCommon Stock 6,588 $71.23 $469,263.24
Disclosure

SEC source: 0000073124-16-000508 · wf-form4_147882118253803.xml · nonDerivative · entry 1

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,548

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 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 20,000 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000073124-16-000507 · wf-form4_147882116771099.xml · derivative · entry 8

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,836

Underlying: Common Stock · 20,000 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.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC SaleCommon Stock 20,000 $78.00 $1,560,000.00
Disclosure

SEC source: 0000073124-16-000507 · wf-form4_147882116771099.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.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC Exercise / conversionCommon Stock 20,000 $50.99 $1,019,800.00
Disclosure

SEC source: 0000073124-16-000507 · wf-form4_147882116771099.xml · nonDerivative · entry 1

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,150

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.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
MORRISON WILLIAM LVice Chairman
SaleCommon Stock 20,000 $79.41 $1,588,200.00
Disclosure

SEC source: 0000073124-16-000506 · wf-form4_147882115158166.xml · nonDerivative · entry 1

MORRISON WILLIAM L · CIK 0001188084 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,756

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.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 20,124 $0.00 Strike: $63.36 $0.00
Disclosure

SEC source: 0000073124-16-000505 · wf-form4_147882113730722.xml · derivative · entry 8

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,124 shares

Expires 2017-02-20

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 2/20/2008.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
FRADKIN STEVEN LPresident/Wealth Management
SaleCommon Stock 20,124 $77.95 $1,568,665.80
Disclosure

SEC source: 0000073124-16-000505 · wf-form4_147882113730722.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.

Read SEC document
November 10, 2016 Filed Nov 10, 2016 23:39 UTC
FRADKIN STEVEN LPresident/Wealth Management
Exercise / conversionCommon Stock 20,124 $63.36 $1,275,056.64
Disclosure

SEC source: 0000073124-16-000505 · wf-form4_147882113730722.xml · nonDerivative · entry 1

FRADKIN STEVEN L · CIK 0001214324 · President/Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,752

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 10, 2016 Filed Nov 10, 2016 23:38 UTC
Cohodes Jeffrey D.EVP/Chief Risk Officer
SaleCommon Stock 15,000 $77.90 $1,168,500.00
Disclosure

SEC source: 0000073124-16-000504 · wf-form4_147882111881009.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,963

F1 · price: Price reflects the weighted average sales price from $77.79 to $77.99. 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 09, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 70,270 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · derivative · entry 16

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,270 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 22,118 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · derivative · entry 15

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,118 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.

F5 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC SaleCommon Stock 8,033 $75.00 $602,475.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 8

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 21,028

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

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC SaleCommon Stock 40,270 $77.00 $3,100,790.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 7

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.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC SaleCommon Stock 52,118 $75.13 $3,915,625.34
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 6

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,420

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 $75.00 to $75.52. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

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.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionCommon Stock 70,270 $57.54 $4,043,335.80
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 5

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,538

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.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionCommon Stock 22,118 $71.23 $1,575,465.14
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 4

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,268

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.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 53,107 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,107 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.

F7 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 53,007 $75.20 $3,986,126.40
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,559

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 $74.85 to $75.71. 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 09, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 100 $74.32 $7,432.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,566

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

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 09, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionCommon Stock 53,107 $71.23 $3,782,811.61
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,666

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 09, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 22,216 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · derivative · entry 12

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,216 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 09, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 25,000 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · derivative · entry 11

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,588

Underlying: Common Stock · 25,000 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
SaleCommon Stock 47,216 $75.58 $3,568,585.28
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · nonDerivative · entry 5

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,960

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 $75.00 to $76.00. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionCommon Stock 22,216 $57.54 $1,278,308.64
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · nonDerivative · entry 4

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,176

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 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionCommon Stock 25,000 $71.23 $1,780,750.00
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · nonDerivative · entry 3

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,960

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 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 90,270 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · derivative · entry 11

Potter Stephen N · CIK 0001378549 · President / Asset 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 35,800 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · derivative · entry 10

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,800 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.

F5 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
SaleCommon Stock 53,749 $76.30 $4,101,048.70
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · nonDerivative · entry 4

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.

F4 · price: Price reflects the weighted average sales price from $76.00 to $76.61. 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 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
SaleCommon Stock 72,321 $75.26 $5,442,878.46
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · nonDerivative · entry 3

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,767

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 $75.00 to $75.995. 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 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionCommon Stock 90,270 $57.54 $5,194,135.80
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · nonDerivative · entry 2

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,088

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 09, 2016 Filed Nov 10, 2016 23:40 UTC
Potter Stephen NPresident / Asset Management
Exercise / conversionCommon Stock 35,800 $71.23 $2,550,034.00
Disclosure

SEC source: 0000073124-16-000509 · wf-form4_147882119911612.xml · nonDerivative · entry 1

Potter Stephen N · CIK 0001378549 · President / Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,818

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 08, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 38,939 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,107

Underlying: Common Stock · 38,939 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.

F7 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 08, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 38,939 $74.13 $2,886,548.07
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,559

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 $74.00 to $74.43. 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 08, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionCommon Stock 38,939 $71.23 $2,773,624.97
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,498

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 07, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 19,200 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · derivative · entry 14

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,270

Underlying: Common Stock · 19,200 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 17,481 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · derivative · entry 13

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,118

Underlying: Common Stock · 17,481 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.

F5 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:22 UTC SaleCommon Stock 36,681 $73.08 $2,680,647.48
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 3

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.

F3 · price: Price reflects the weighted average sales price from $73.00 to $73.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

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

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionCommon Stock 19,200 $57.54 $1,104,768.00
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 2

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,831

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.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:22 UTC Exercise / conversionCommon Stock 17,481 $71.23 $1,245,171.63
Disclosure

SEC source: 0000073124-16-000495 · wf-form4_147874095526787.xml · nonDerivative · entry 1

Schreuder Jana R · CIK 0001328600 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,631

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
November 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 32,406 $0.00 Strike: $71.23 $0.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,046

Underlying: Common Stock · 32,406 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.

F7 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/19/2009.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 70,808 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 70,808 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.

F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 7/21/2010.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
SaleCommon Stock 103,214 $73.31 $7,566,618.34
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.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

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 $73.00 to $74.00. 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 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionCommon Stock 32,406 $71.23 $2,308,279.38
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,773

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 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
Exercise / conversionCommon Stock 70,808 $57.54 $4,074,292.32
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,367

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 07, 2016 Filed Nov 10, 2016 01:23 UTC
WADDELL FREDERICK HDirector · Chairman, President and CEO
GiftCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0000073124-16-000497 · wf-form4_147874099092536.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 72,342

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative 48,180 $0.00 Strike: $57.54 $0.00
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · derivative · entry 10

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,216

Underlying: Common Stock · 48,180 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 07, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
SaleCommon Stock 48,180 $73.07 $3,520,512.60
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · nonDerivative · entry 2

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,960

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 $73.00 to $73.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

F1 · balance_after: Includes 32,960 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:23 UTC
St Clair JoyceExecutive Vice President
Exercise / conversionCommon Stock 48,180 $57.54 $2,772,277.20
Disclosure

SEC source: 0000073124-16-000496 · wf-form4_147874097593173.xml · nonDerivative · entry 1

St Clair Joyce · CIK 0001393081 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,140

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 32,960 shares representing 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.