Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NORTHERN TRUST CORPNTRS · Entity 1970 | EVP & Chief Investment Officer | May 05, 2021 | May 08, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NORTHERN TRUST CORP
Report date May 05, 2021 · Filed May 08, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,199 |
Last balance in matching sequence
After 2021-05-05 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-05-05 · Exercise / conversion · Acquired 6,755 · Balance 31,954 F1: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Row 2 · 2021-05-05 · Sale · Disposed 6,755 · Balance 25,199 F1: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| Employee Stock Option (right-to-buy)SEC Table II · derivative / convertible security · Conversion / exercise price $88.06 · Expires 2027-02-21 | Direct | 2,601 |
Reported balance
After 2021-05-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-05-05 · Exercise / conversion · Disposed 6,755 · Balance 2,601 F2: This option became exercisable in four equal annual installments beginning on February 21, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2: This option became exercisable in four equal annual installments beginning on February 21, 2018.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 05, 2021 Filed May 8, 2021 00:55 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 6,755 | $0.00 Strike: $88.06 | $0.00 |
DisclosureSEC source: 0000073124-21-000197 · wf-form4_162043533957422.xml · derivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,601 Underlying: Common Stock · 6,755 shares Expires 2027-02-21 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. F2 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning on February 21, 2018. Read SEC document |
| May 05, 2021 Filed May 8, 2021 00:55 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 6,755 | $116.83 | $789,186.65 |
DisclosureSEC source: 0000073124-21-000197 · wf-form4_162043533957422.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,199 F1 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| May 05, 2021 Filed May 8, 2021 00:55 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 6,755 | $88.06 | $594,845.30 |
DisclosureSEC source: 0000073124-21-000197 · wf-form4_162043533957422.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,954 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| April 29, 2021 Filed Apr 30, 2021 20:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 10,000 | $0.00 Strike: $88.06 | $0.00 |
DisclosureSEC source: 0000073124-21-000189 · wf-form4_161981615398074.xml · derivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,356 Underlying: Common Stock · 10,000 shares Expires 2027-02-21 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. F3 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning February 21, 2018. Read SEC document |
| April 29, 2021 Filed Apr 30, 2021 20:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 13,500 | $114.37 | $1,543,995.00 |
DisclosureSEC source: 0000073124-21-000189 · wf-form4_161981615398074.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,199 F2 · price: Price reflects the weighted average sales price from $114.30 to $114.47. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| April 29, 2021 Filed Apr 30, 2021 20:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 10,000 | $88.06 | $880,600.00 |
DisclosureSEC source: 0000073124-21-000189 · wf-form4_161981615398074.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,699 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 22:45 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 10,000 | $102.18 | $1,021,800.00 |
DisclosureSEC source: 0000073124-21-000119 · wf-form4_161584831507348.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,699 F1 · price: Price reflects the weighted average sales price from $102.15 to $102.22. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F2 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 23:41 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 2,328 | $98.43 | $229,145.04 |
DisclosureSEC source: 0000073124-21-000107 · wf-form4_161481485371409.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,699 F1 · balance_after: Reflects 2,328 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 5,544 previously reported stock units. The remaining 3,216 shares were distributed to the reporting person as shares of common stock. F2 · balance_after: Includes 18,753 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Reflects the March 3, 2021 transfer of 633 shares of Common Stock to the reporting person's former spouse pursuant to a domestic relations order. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:50 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 1,143 | $96.92 | $110,779.56 |
DisclosureSEC source: 0000073124-21-000084 · wf-form4_161421062438533.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,660 F1 · balance_after: Reflects 1,143 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,724 previously reported stock units. The remaining 1,581 shares were distributed to the reporting person as shares of common stock. F2 · balance_after: Includes 24,297 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 17, 2021 Filed Feb 20, 2021 00:39 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | GrantCommon Stock | 7,542 | $0.00 | $0.00 |
DisclosureSEC source: 0000073124-21-000057 · wf-form4_161378157513669.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,803 F1 · balance_after: Includes 27,021 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 23:23 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 3,581 | $96.76 | $346,497.56 |
DisclosureSEC source: 0000073124-21-000029 · wf-form4_161127142403238.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,261 F1 · balance_after: Includes 19,479 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 23:23 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | GrantCommon Stock | 11,445 | $0.00 | $0.00 |
DisclosureSEC source: 0000073124-21-000029 · wf-form4_161127142403238.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,842 F1 · balance_after: Includes 19,479 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 23:13 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 823 | $93.31 | $76,794.13 |
DisclosureSEC source: 0000073124-20-000270 · wf-form4_160738280374956.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,397 F1 · shares: Represents shares withheld to satisfy tax withholding obligations related to previously reported stock units. F2 · balance_after: Includes 19,479 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 21:54 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 1,100 | $97.29 | $107,019.00 |
DisclosureSEC source: 0000073124-20-000260 · wf-form4_160634123460396.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,220 F1 · price: Price reflects the weighted average sales price from $97.27 to $97.34. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F2 · balance_after: Includes 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 23:28 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 5,355 | $0.00 Strike: $58.25 | $0.00 |
DisclosureSEC source: 0000073124-20-000251 · wf-form4_160522368684309.xml · derivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,355 shares Expires 2026-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning February 16, 2017. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 23:28 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 5,355 | $91.55 | $490,250.25 |
DisclosureSEC source: 0000073124-20-000251 · wf-form4_160522368684309.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,320 F1 · balance_after: Includes 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 23:28 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 5,355 | $58.25 | $311,928.75 |
DisclosureSEC source: 0000073124-20-000251 · wf-form4_160522368684309.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,675 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 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 21:35 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 5,000 | $84.82 | $424,100.00 |
DisclosureSEC source: 0000073124-20-000184 · wf-form4_159139293809662.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,320 F1 · price: Price reflects the weighted average sales price from $84.81 to $84.87. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F2 · balance_after: Includes 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| March 10, 2020 Filed Mar 11, 2020 21:51 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 4,500 | $72.31 | $325,395.00 |
DisclosureSEC source: 0000073124-20-000124 · wf-form4_158396346720009.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,320 F1 · price: Price reflects the weighted average sales price from $72.30 to $72.38. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F2 · balance_after: Includes 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:02 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 1,727 | $86.63 | $149,610.01 |
DisclosureSEC source: 0000073124-20-000114 · wf-form4_158327654784566.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,820 F1 · balance_after: Reflects the 2/26/2020 transfer of 1,215 shares and the 3/3/2020 transfer of 747 shares of Common Stock to the reporting person's former spouse pursuant to a domestic relations order. F2 · balance_after: Reflects 1,727 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,896 previously reported stock units. The remaining 2,169 shares were distributed to the reporting person as shares of common stock. F3 · balance_after: Includes 20,302 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 21, 2020 Filed Feb 25, 2020 21:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 1,258 | $101.35 | $127,498.30 |
DisclosureSEC source: 0000073124-20-000091 · wf-form4_158266777164299.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,509 F1 · balance_after: Reflects 1,258 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,839 previously reported stock units. The remaining 1,581 shares were distributed to the reporting person as shares of common stock. F2 · balance_after: Includes 24,198 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 20, 2020 Filed Feb 21, 2020 22:53 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 3,708 | $0.00 Strike: $58.25 | $0.00 |
DisclosureSEC source: 0000073124-20-000073 · wf-form4_158232556702871.xml · derivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,355 Underlying: Common Stock · 3,708 shares Expires 2026-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/16/2017. Read SEC document |
| February 20, 2020 Filed Feb 21, 2020 22:53 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 3,708 | $104.07 | $385,891.56 |
DisclosureSEC source: 0000073124-20-000073 · wf-form4_158232556702871.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,767 F2 · price: Price reflects the weighted average sales price from $104.05 to $104.07. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 27,037 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 20, 2020 Filed Feb 21, 2020 22:53 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 3,708 | $58.25 | $215,991.00 |
DisclosureSEC source: 0000073124-20-000073 · wf-form4_158232556702871.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,475 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 27,037 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 00:17 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | GrantCommon Stock | 7,533 | $0.00 | $0.00 |
DisclosureSEC source: 0000073124-20-000058 · wf-form4_158215780978756.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,767 F4 · balance_after: Includes 27,037 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| February 16, 2020 Filed Feb 20, 2020 00:17 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 2,045 | $100.60 | $205,727.00 |
DisclosureSEC source: 0000073124-20-000058 · wf-form4_158215780978756.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,234 F1 · balance_after: Reflects the 2/4/2020 transfer of 3,668 shares of Common Stock to the reporting person's former spouse pursuant to a domestic relations order. F2 · balance_after: Reflects 2,045 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,614 previously reported stock units. The remaining 2,569 shares were distributed to the reporting person as shares of common stock. F3 · balance_after: Includes 19,504 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 23:15 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Tax withholdingCommon Stock | 4,850 | $109.23 | $529,765.50 |
DisclosureSEC source: 0000073124-20-000026 · wf-form4_157973489662534.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,947 F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 23:15 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | GrantCommon Stock | 13,934 | $0.00 | $0.00 |
DisclosureSEC source: 0000073124-20-000026 · wf-form4_157973489662534.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,797 F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 11,869 | $0.00 Strike: $70.21 | $0.00 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · derivative · entry 9 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,869 shares Expires 2025-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/17/2016. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 1,110 | $0.00 Strike: $60.85 | $0.00 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · derivative · entry 8 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,110 shares Expires 2024-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/10/2015. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 711 | $0.00 Strike: $52.69 | $0.00 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · derivative · entry 7 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 711 shares Expires 2023-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/11/2014. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 356 | $0.00 Strike: $52.64 | $0.00 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · derivative · entry 6 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 356 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. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 14,046 | $109.28 | $1,534,946.88 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · nonDerivative · entry 5 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,863 F2 · price: Price reflects the weighted average sales price from $109.23 to $109.41. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 11,869 | $70.21 | $833,322.49 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · nonDerivative · entry 4 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,909 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 1,110 | $60.85 | $67,543.50 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · nonDerivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,040 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 711 | $52.69 | $37,462.59 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,930 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 00:22 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 356 | $52.64 | $18,739.84 |
DisclosureSEC source: 0000073124-19-000251 · wf-form4_157619655768905.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,219 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 21:31 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 11,534 | $0.00 Strike: $58.25 | $0.00 |
DisclosureSEC source: 0000073124-19-000245 · wf-form4_157324865886781.xml · derivative · entry 3 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,063 Underlying: Common Stock · 11,534 shares Expires 2026-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/16/2017. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 21:31 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 11,534 | $107.85 | $1,243,941.90 |
DisclosureSEC source: 0000073124-19-000245 · wf-form4_157324865886781.xml · nonDerivative · entry 2 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,863 F2 · price: Price reflects the weighted average sales price from $107.80 to $107.96. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 21:31 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 11,534 | $58.25 | $671,855.50 |
DisclosureSEC source: 0000073124-19-000245 · wf-form4_157324865886781.xml · nonDerivative · entry 1 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,397 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 6,453 | $0.00 Strike: $88.06 | $0.00 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · derivative · entry 15 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,356 Underlying: Common Stock · 6,453 shares Expires 2027-02-21 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. F12 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/21/2018. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 12,359 | $0.00 Strike: $58.25 | $0.00 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · derivative · entry 14 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,597 Underlying: Common Stock · 12,359 shares Expires 2026-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_date: This option becomes exercisable in four equal annual installments beginning 2/16/2017. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 18,812 | $102.96 | $1,936,883.52 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 9 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,863 F6 · price: Price reflects the weighted average sales price from $102.87 to $103.17. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 6,453 | $88.06 | $568,251.18 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 8 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,675 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 12,359 | $58.25 | $719,911.75 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 7 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,222 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 11,870 | $0.00 Strike: $70.21 | $0.00 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · derivative · entry 13 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,869 Underlying: Common Stock · 11,870 shares Expires 2025-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/17/2016. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionEmployee Stock Option (right-to-buy) · Derivative | 11,093 | $0.00 Strike: $60.85 | $0.00 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · derivative · entry 12 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,110 Underlying: Common Stock · 11,093 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. F9 · derivative.exercise_date: This option became exercisable in four equal annual installments beginning 2/10/2015. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | SaleCommon Stock | 22,963 | $102.06 | $2,343,603.78 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 6 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,863 F5 · price: Price reflects the weighted average sales price from $101.96 to $102.24. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. F1 · balance_after: Includes 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 11,870 | $70.21 | $833,392.70 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 5 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,826 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 23:56 UTC | NORTHERN TRUST CORP NTRS · Entity 1970 | Exercise / conversionCommon Stock | 11,093 | $60.85 | $675,009.05 |
DisclosureSEC source: 0000073124-19-000239 · wf-form4_157239336004147.xml · nonDerivative · entry 4 BROWNE ROBERT P · CIK 0001136778 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,956 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 24,118 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. F3 · balance_after: Exercise of Employee Stock Option and sale of resulting Common Stock shares occurred at the direction, and for the benefit, of the reporting person's former spouse. 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.