Form 4 for NTRS Northern Trust
Accepted 2023-04-27 00:00:00 ET · period of report 2023-04-25 · accession 0000073124-23-000122 · 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 | 2023-04-27 | 2023-04-25 | NTRS | POWELL CHARLES D | Advisory Dir | M - OptEx | — | +1,343 | 1,343 | New | — |
| D | 2023-04-27 | 2023-04-25 | NTRS | POWELL CHARLES D | Advisory Dir | D - Sale to Iss | $80.80 | -1,343 | 0 | -100% | -$108.5K |
| D | 2023-04-27 | 2023-04-25 | NTRS | POWELL CHARLES D | Advisory Dir | A - Grant | $0.00 | +1,855 | 1,855 | New | $0 |
| D | 2023-04-27 | 2023-04-25 | NTRS | POWELL CHARLES D | Advisory Dir | M - OptEx | — | -1,343 | 0 | -100% | — |
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 | 2023-04-25 | M | A | 1,343 | — | 1,343 | D | — | — | (F1) Each unit is the economic equivalent of one share of the Corporation's common stock and is settled in cash upon vesting. (F2) 1,343 stock units vested on April 25, 2023 and were paid in cash to the Advisory Director. This form reports such settlement in cash as the deemed conversion of units and immediate disposition of underlying common stock in accordance with SEC guidance. |
| 2 | Common | Common Stock | 2023-04-25 | D | D | 1,343 | $80.80 | 0 | D | — | — | (F2) 1,343 stock units vested on April 25, 2023 and were paid in cash to the Advisory Director. This form reports such settlement in cash as the deemed conversion of units and immediate disposition of underlying common stock in accordance with SEC guidance. |
| 3 | Derivative | Stock Units | 2023-04-25 | A | A | 1,855 | $0.00 | 1,855 | D | — · — to — | 1,855 Common Stock | (F3) The stock units will be paid in cash to the Advisory Director upon the date of the Corporation's 2024 Annual Meeting of Stockholders. |
| 4 | Derivative | Stock Units | 2023-04-25 | M | D | 1,343 | — | 0 | D | — · — to — | 1,343 Common Stock | (F2) 1,343 stock units vested on April 25, 2023 and were paid in cash to the Advisory Director. This form reports such settlement in cash as the deemed conversion of units and immediate disposition of underlying common stock in accordance with SEC guidance. (F1) Each unit is the economic equivalent of one share of the Corporation's common stock and is settled in cash upon vesting. |