Northern Trust Corp. (NTRS)

FINANCE: BANKS
SIC: STATE COMMERCIAL BANKS

50 S LASALLE ST CHICAGO, IL 60603

Northern Trust Corporation is a leading provider of wealth management, asset servicing, asset management and banking to corporations, institutions, affluent families and individuals. Founded in Chicago in 1889, Northern Trust has a global presence with offices in 22 U.S. states and Washington, D.C., and across 22 locations in Canada, Europe, the Middle East and the Asia-Pacific region. As of September 30, 2020, Northern Trust had assets under custody/administration of US$13.1 trillion, and assets under management of US$1.3 trillion. For more than 130 years, Northern Trust has earned distinction as an industry leader for exceptional service, financial expertise, integrity and innovation.

Data as of 2021-08-02 07:27:16 -0400
Market Cap23.517 Billion Shares Outstanding208.395 Million Avg 30-day Volume721.382 Thousand
P/E Ratio19.08876 Dividend Yield1.845 EPS5.9
Price/Sales3.77 Debt to Equity14.57 EBITDA1.767 Billion
Price to Book Value2.15 Forward PE2.13 Enterprise Value23.517 Billion
Total Cash Current Debt156.359 Billion Gross Profit6.292 Billion
BETA0.99282 52-week High/Low122.37 / 72.54 Next Earnings Date2021-10-20 Price to Cash FLow (P/CF) 67.5519
Data provided by IEX Cloud
View SEC Filings from NTRS instead.
Q1 2021 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 3 5 -40.0% 0 (0.0%) 2 (0.12%) -100.0%
Funds Holding: 630 631 -0.16% 130 (7.63%) 130 (7.54%) 0.0%
13F shares: 168.436 Million 169.562 Million -0.66% 28.808 Million 30.877 Million -6.7%
% Ownership 81.011 81.4728 -0.57% 13.8557 14.8361 -6.61%
New Positions: 63 94 -32.98% 19 25 -24.0%
Increased Positions 214 198 8.08% 40 42 -4.76%
Closed Positions 58 43 34.88% 18 15 20.0%
Reduced Positions 227 245 -7.35% 52 48 8.33%
Total Calls 286.528 Thousand 232.658 Thousand 23.15% 107.9 Thousand 88.2 Thousand 22.34%
Total Puts 184.429 Thousand 186.404 Thousand -1.06% 50.3 Thousand 59.4 Thousand -15.32%
PUT/CALL Ratio 0.64 0.8 -20.0% 0.47 0.67 -29.85%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding NTRS (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding NTRS BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

5 Thousand total shares from 1 transactions

Exercise Derivative Conversion (M)

5 Thousand total shares from 1 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

SMITH DAVID BYRON JR

  • Director
1,352,894 2021-07-30 5

SOUTH THOMAS A EXECUTIVE VICE PRESIDENT

  • Officer
25,459 2021-07-28 6

THOMAS SHUNDRAWN A PRESIDENT / ASSET MANAGEMENT

  • Officer
51,662 2021-07-27 8

CROWN SUSAN

  • Director
391,096 2021-07-01 5

BYNOE LINDA

  • Director
26,790 2021-07-01 5

SLARK MARTIN P

  • Director
17,855 2021-07-01 5

KLEVORN MARCY S

  • Director
4,390 2021-07-01 5

TRIBBETT CHARLES A

  • Director
30,650 2021-06-30 6

PRADO BECERRA JOSE LUIS

  • Director
19,540 2021-06-30 5

HARRISON DEAN M

  • Director
16,736 2021-06-30 5

THOMPSON DONALD

  • Director
15,531 2021-06-30 5

RICHARDS THOMAS E

  • Director
14,121 2021-06-30 5

ST CLAIR JOYCE EXECUTIVE VICE PRESIDENT

  • Officer
65,754 2021-05-21 9

CHERECWICH PETER PRESIDENT/C&IS

  • Officer
54,203 2021-05-17 9

TYLER JASON J. EVP & CHIEF FINANCIAL OFFICER

  • Officer
21,439 2021-05-14 6

GOSSETT MARK C EXECUTIVE VICE PRESIDENT

  • Officer
12,125 2021-05-14 5

FRADKIN STEVEN L PRESIDENT/WEALTH MANAGEMENT

  • Officer
221,550 2021-05-11 11

O'GRADY MICHAEL CHAIRMAN, PRESIDENT AND CEO

  • Officer
  • Director
316,571 2021-05-05 5

BROWNE ROBERT P EVP & CHIEF INVESTMENT OFFICER

  • Officer
27,800 2021-05-05 10

PARKER TERESA EXECUTIVE VICE PRESIDENT

  • Officer
64,901 2021-04-23 6

ALLNUTT LAUREN E EVP & CONTROLLER

  • Officer
3,774 2021-04-23 5

POWELL CHARLES D

  • ADVISORY DIRECTOR
1,164 2021-04-20 1

HENDERSON JAY L

  • Director
11,396 2021-04-20 1

MEHTA SIDDHARTH N

  • Director
4,229 2021-04-20 1

LEVY SUSAN COHEN EVP, GEN COUNSEL & CORP SEC

  • Officer
71,677 2021-03-01 5

LEECH WILSON EVP/CHIEF RISK OFFICER

  • Officer
49,695 2020-01-21 0

BOWMAN BIFF EVP & CHIEF FINANCIAL OFFICER

  • Officer
75,181 2019-12-12 0

ROWE JOHN W

  • Director
33,923 2019-04-23 0

BLAKE AILEEN B EVP & CONTROLLER

  • Officer
28,518 2019-03-01 0

WADDELL FREDERICK H CHAIRMAN

  • Officer
  • Director
506,428 2019-01-22 0

POTTER STEPHEN N VICE CHAIRMAN

  • Officer
92,317 2018-12-13 0

MORRISON WILLIAM L VICE CHAIRMAN

  • Officer
53,946 2018-12-07 0

SCHREUDER JANA R COO

  • Officer
91,543 2018-08-06 0

COHODES JEFFREY D. EXECUTIVE VICE PRESIDENT

  • Officer
24,294 2018-05-07 0

PEMBLETON SUSAN GILLIAN EVP/HUMAN RESOURCES

  • Officer
23,270 2018-02-26 0

JAIN DIPAK C

  • Director
20,052 2017-03-31 0

KARPINSKI JANE EXECUTIVE VP & CONTROLLER

  • Officer
15,869 2017-02-21 0

MOONEY EDWARD J

  • ADVISORY DIRECTOR
No longer subject to file 2015-04-21 0

BOND JOHN

  • ADVISORY DIRECTOR
No longer subject to file 2015-04-21 0

CHABRAJA NICHOLAS D

  • Director
18,019 2014-04-15 0

LANE ROBERT W

  • Director
17,476 2014-04-15 0

WELSH KELLY R EVP & GENERAL COUNSEL

  • Officer
No longer subject to file 2014-04-03 0

MOEN TIMOTHY P EXECUTIVE VICE PRESIDENT

  • Officer
  • & CHIEF ADMINISTRATIVE OFFICER
No longer subject to file 2013-09-01 0

KUKLA RICHARD D. CONTROLLER

  • Officer
No longer subject to file 2013-05-31 0

BARRAT SHERRY S

  • FORMER VICE CHAIRMAN
No longer subject to file 2012-06-30 0

SOSA ENRIQUE

  • FORMER DIRECTOR
No longer subject to file 2012-04-17 0

MCCORMACK ROBERT C

  • FORMER DIRECTOR
No longer subject to file 2012-04-17 0

SMITHBURG WILLIAM D

  • FORMER DIRECTOR
No longer subject to file 2011-04-19 0

KELLY ARTHUR L

  • FORMER DIRECTOR
No longer subject to file 2010-04-20 0

SMITH HAROLD B

  • FORMER DIRECTOR
No longer subject to file 2010-04-20 0

OSBORN WILLIAM A

  • Director
  • FORMER CHAIRMAN OF THE BOARD
No longer subject to file 2009-11-10 0

THERIAULT TIMOTHY J

  • FORMER OFFICER
No longer subject to file 2009-09-18 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

SMITH DAVID BYRON JR - Director by trust

2021-08-02 18:26:09 -0400 2021-07-30 G 1,780 a 24,664 indirect

SOUTH THOMAS A - Officer EXECUTIVE VICE PRESIDENT

2021-08-02 18:26:32 -0400 2021-07-28 G 444 d 22,609 direct

THOMAS SHUNDRAWN A - Officer PRESIDENT / ASSET MANAGEMENT

2021-07-28 17:45:45 -0400 2021-07-27 M 5,000 $58.25 a 56,662 direct -0.669 0.0 1 -0.669 2

THOMAS SHUNDRAWN A - Officer PRESIDENT / ASSET MANAGEMENT

2021-07-28 17:45:45 -0400 2021-07-27 M 5,000 d 0 direct

THOMAS SHUNDRAWN A - Officer PRESIDENT / ASSET MANAGEMENT

2021-07-28 17:45:45 -0400 2021-07-27 S 5,000 $112.47 d 51,662 direct -0.669 0.0 1 -0.669 2

CROWN SUSAN - Director

2021-07-02 17:23:51 -0400 2021-07-01 A 41 $116.32 a 29,000 direct -0.2885 0.376 1.6875 5 -2.4395 3

TRIBBETT CHARLES A - Director

2021-07-02 18:29:59 -0400 2021-07-01 A 50 $116.32 a 29,650 direct -0.2885 0.376 1.6875 5 -2.4395 3

HARRISON DEAN M - Director

2021-07-02 18:28:21 -0400 2021-07-01 A 56 $116.32 a 15,689 direct -0.2885 0.376 1.6875 5 -2.4395 3

PRADO BECERRA JOSE LUIS - Director

2021-07-02 18:28:56 -0400 2021-07-01 A 50 $116.32 a 17,594 direct -0.2885 0.376 1.6875 5 -2.4395 3

THOMPSON DONALD - Director

2021-07-02 18:29:44 -0400 2021-07-01 A 57 $116.32 a 13,788 direct -0.2885 0.376 1.6875 5 -2.4395 3

SLARK MARTIN P - Director

2021-07-02 18:29:29 -0400 2021-07-01 A 25 $116.32 a 13,086 direct -0.2885 0.376 1.6875 5 -2.4395 3

BYNOE LINDA - Director

2021-07-02 18:28:03 -0400 2021-07-01 A 33 $116.32 a 26,790 direct -0.2885 0.376 1.6875 5 -2.4395 3

KLEVORN MARCY S - Director

2021-07-02 18:28:41 -0400 2021-07-01 A 19 $116.32 a 4,390 direct -0.2885 0.376 1.6875 5 -2.4395 3

RICHARDS THOMAS E - Director

2021-07-02 18:29:12 -0400 2021-07-01 A 53 $116.32 a 14,121 direct -0.2885 0.376 1.6875 5 -2.4395 3

RICHARDS THOMAS E - Director

2021-07-02 18:29:12 -0400 2021-06-30 A 251 $115.62 a 14,069 direct -0.2885 0.376 1.6875 5 -2.4395 3

TRIBBETT CHARLES A - Director

2021-07-02 18:29:59 -0400 2021-06-30 A 281 $115.62 a 29,600 direct -0.2885 0.376 1.6875 5 -2.4395 3

HARRISON DEAN M - Director

2021-07-02 18:28:21 -0400 2021-06-30 A 346 $115.62 a 15,633 direct -0.2885 0.376 1.6875 5 -2.4395 3

PRADO BECERRA JOSE LUIS - Director

2021-07-02 18:28:56 -0400 2021-06-30 A 238 $115.62 a 17,544 direct -0.2885 0.376 1.6875 5 -2.4395 3

THOMPSON DONALD - Director

2021-07-02 18:29:44 -0400 2021-06-30 A 273 $115.62 a 13,730 direct -0.2885 0.376 1.6875 5 -2.4395 3

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
NORTHERN TRUST CORP NTRS 2021-08-03 15:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 15:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 14:45:04 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 14:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 13:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 13:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-03 12:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 22:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 21:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 21:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 20:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 20:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 19:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 19:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 18:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 18:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 17:45:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 17:15:03 UTC -0.19 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 16:45:03 UTC -0.17 0.25 2700000
NORTHERN TRUST CORP NTRS 2021-08-02 16:15:03 UTC -0.17 0.25 2700000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
FundVantage Trust- Gotham Absolute 500 Core Fund NTRS -51.0 shares, $-3848.46 2020-03-31 N-PORT
FundVantage Trust- Gotham Neutral 500 Fund NTRS -13.0 shares, $-1366.43 2021-03-31 N-PORT
FundVantage Trust- Gotham Enhanced 500 Plus Fund NTRS -46.0 shares, $-4835.06 2021-03-31 N-PORT
JPMorgan Trust I- JPMorgan U.S. Large Cap Core Plus Fund NTRS -53505.0 shares, $-5623910.55 2021-03-31 N-PORT
INVESTMENT MANAGERS SERIES TRUST II- AXS Market Neutral Fund NTRS -656.0 shares, $-68952.16 2021-03-31 N-PORT
JPMorgan Trust I- JPMorgan Research Market Neutral Fund NTRS -5869.0 shares, $-667892.2 2021-04-30 N-PORT
PACE SELECT ADVISORS TRUST- PACE Large Co Value Equity Investments NTRS -10920.0 shares, $-1242696.0 2021-04-30 N-PORT
Principal Funds, Inc- Global Multi-Strategy Fund NTRS 3886.0 shares, $-470944.34 2021-05-31 N-PORT

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