O'Grady Michael's Form 4 filing
Northern Trust Corp (NTRS) · filed Dec 10, 2021
- Accession no.
- 0000073124-21-000301
- Filed
- Dec 10, 2021
- Trade date
- Dec 9, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.73M. It was filed 1 day 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 |
|---|---|
| O'Grady MichaelCIK 0001527742 | Director, Officer (Chairman, President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common Stock | MOption exerciseAcquired | +48,110 | $43.65 | +$2,100,001.5 | 103,802 | Direct | |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −48,110 | $119.03F2 | −$5,726,533.3 | 55,692 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common Stock | MOption exerciseDisposed | −48,110 | $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.
- F2
Price reflects the weighted average sales price from $118.58 to $119.57. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
Referenced by the price of 1 transaction in Table I.