St Clair Joyce's Form 4 filing
Northern Trust Corp (NTRS) · filed Aug 13, 2021
- Accession no.
- 0000073124-21-000247
- Filed
- Aug 13, 2021
- Trade date
- Aug 11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $5.79M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| St Clair JoyceCIK 0001393081 | Officer (Executive Vice President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock | MOption exerciseAcquired | +23,739 | $70.21 | +$1,666,715.19 | 40,153 | Direct | |
| Aug 11, 2021 | Common Stock | MOption exerciseAcquired | +26,132 | $88.06 | +$2,301,183.92 | 66,285 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −49,871 | $116.00 | −$5,785,036 | 16,414 | Direct | |
| Aug 11, 2021 | Common Stock | GGiftDisposed | −3,192 | $0.00 | $0 | 41,047 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock | MOption exerciseDisposed | −23,739 | $0.00 | $0 | 0 | Direct | |
| Aug 11, 2021 | Common Stock | MOption exerciseDisposed | −26,132 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.