Form 4 for NTRS Northern Trust
Accepted 2024-02-23 00:00:00 ET · period of report 2024-02-21 · accession 0000073124-24-000061 · 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 | 2024-02-23 | 2024-02-22 | NTRS | FRADKIN STEVEN L | Pres, Wealth Management | M - OptEx | $58.25 | +30.4K | 86.1K | +55% | +$1.77M |
| D | 2024-02-23 | 2024-02-21 | NTRS | FRADKIN STEVEN L | Pres, Wealth Management | A - Grant | $0.00 | +11.7K | 55.7K | +27% | $0 |
| D | 2024-02-23 | 2024-02-22 | NTRS | FRADKIN STEVEN L | Pres, Wealth Management | S - Sale+OE | $80.11 | -30.4K | 55.7K | -35% | -$2.43M |
| D | 2024-02-23 | 2024-02-22 | NTRS | FRADKIN STEVEN L | Pres, Wealth Management | M - OptEx | $0.00 | -30.4K | 4,097 | -88% | $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 | 2024-02-22 | M | A | 30,392 | $58.25 | 86,099 | D | — | — | (F1) Includes 55,707 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 2 | Common | Common Stock | 2024-02-21 | A | A | 11,731 | $0.00 | 55,707 | D | — | — | (F1) Includes 55,707 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 3 | Common | Common Stock | 2024-02-22 | S | D | 30,392 | $80.11 | 55,707 | D | — | — | (F2) Price reflects the weighted average sales price from $80.00 to $80.42. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. (F1) Includes 55,707 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| 4 | Derivative | Employee Stock Option (right-to-buy) | 2024-02-22 | M | D | 30,392 | $0.00 | 4,097 | D | $58.25 · — to 2026-02-16 | 30,392 Common Stock | (F4) This option became exercisable in four equal annual installments beginning on February 16, 2017. |