Form 4 for NTRS Northern Trust
Accepted 2021-08-13 00:00:00 ET · period of report 2021-08-11 · accession 0000073124-21-000247 · 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 | 2021-08-13 | 2021-08-11 | NTRS | St Clair Joyce | EVP | S - Sale+OE | $116.00 | -49.9K | 16.4K | -75% | -$5.79M |
| DI | 2021-08-13 | 2021-08-11 | NTRS | St Clair Joyce | EVP | G - Gift | $0.00 | -3,192 | 41.0K | -7% | $0 |
| DM | 2021-08-13 | 2021-08-11 | NTRS | St Clair Joyce | EVP | M - OptEx | $79.56 | +49.9K | 66.3K | +304% | +$3.97M |
| DM | 2021-08-13 | 2021-08-11 | NTRS | St Clair Joyce | EVP | M - OptEx | $0.00 | -49.9K | 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 | 2021-08-11 | S | D | 49,871 | $116.00 | 16,414 | D | — | — | (F1) Includes 16,414 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 2 | Common | Common Stock | 2021-08-11 | G | D | 3,192 | $0.00 | 41,047 | I | — | — | |
| 3 | Common | Common Stock | 2021-08-11 | M | A | 23,739 | $70.21 | 40,153 | D By Trust | — | — | (F1) Includes 16,414 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 4 | Common | Common Stock | 2021-08-11 | M | A | 26,132 | $88.06 | 66,285 | D | — | — | (F1) Includes 16,414 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 5 | Derivative | Employee Stock Option (right-to-buy) | 2021-08-11 | M | D | 23,739 | $0.00 | 0 | D | $70.21 · — to 2025-02-17 | 23,739 Common Stock | (F2) This option became exercisable in four equal annual installments beginning on February 17, 2016. |
| 6 | Derivative | Employee Stock Option (right-to-buy) | 2021-08-11 | M | D | 26,132 | $0.00 | 0 | D | $88.06 · — to 2027-02-21 | 26,132 Common Stock | (F3) This option became exercisable in four equal annual installments beginning on February 21, 2018. |