Accession Number: | 0000895813-14-000209 |
Date: | 2014-07-30 |
Issuer: | NORTHERN TRUST CORP (NTRS) |
Original Submission Date: |
POTTER STEPHEN N
50 SOUTH LA SALLE STREET
CHICAGO, IL 60603
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-07-30 | S | 8,000 | d | $68.00 | 22,858 | indirect | ||
COMMON STOCK | 2014-07-31 | M | 58,836 | a | $50.99 | 81,694 | indirect | ||
COMMON STOCK | 2014-07-31 | S | 58,836 | d | $67.16 | 22,858 | indirect | ||
COMMON STOCK | 2014-07-30 | 0 | $0.00 | 45,857 | direct | ||||
COMMON STOCK | 2014-07-30 | 0 | $0.00 | 1,270 | indirect | ||||
COMMON STOCK | 2014-07-30 | 0 | $0.00 | 1,270 | indirect | ||||
COMMON STOCK | 2014-07-30 | 0 | $0.00 | 8,337 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) | 50.99 | 2014-07-31 | deemed execution date | M | 58,836 (d) | 2020-02-15 | common stock 58,836 | $50.99 | 0 | direct |
ID | footnote |
---|---|
f1 | this transaction was effected pursuant to a trading plan adopted in accordance with sec rule 10b5-1. |
f2 | price reflects the weighted average sales price from $67.00 to $67.33. information regarding the number of shares sold at each separate price will be provided by the issuer upon request. |
f3 | represents stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock. |
f4 | these options became exercisable in four equal annual installments beginning on 2/15/2011. |