Form 4 for NTRS Northern Trust
Accepted 2021-07-28 00:00:00 ET · period of report 2021-07-27 · accession 0000073124-21-000241 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-07-28 | 2021-07-27 | NTRS | Thomas Shundrawn A | Pres, Asset Management | S - Sale+OE | $112.47 | -5,000 | 51.7K | -9% | -$562.4K |
| D | 2021-07-28 | 2021-07-27 | NTRS | Thomas Shundrawn A | Pres, Asset Management | M - OptEx | $58.25 | +5,000 | 56.7K | +10% | +$291.2K |
| D | 2021-07-28 | 2021-07-27 | NTRS | Thomas Shundrawn A | Pres, Asset Management | M - OptEx | $0.00 | -5,000 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-27 | S | D | 5,000 | $112.47 | 51,662 | D | — | — | (F2) Price reflects the weighted average sales price from $112.47 to $112.48. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. (F1) Includes 19,622 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 2 | Common | Common Stock | 2021-07-27 | M | A | 5,000 | $58.25 | 56,662 | D | — | — | (F1) Includes 19,622 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 3 | Derivative | Employee Stock Option (right-to-buy) | 2021-07-27 | M | D | 5,000 | $0.00 | 0 | D | $58.25 · — to 2026-02-16 | 5,000 Common Stock | (F3) This option became exercisable in four equal annual installments beginning February 16, 2017. |