Fradkin Steven L's Form 4 filing
Northern Trust Corp (NTRS) · filed Feb 23, 2024
- Accession no.
- 0000073124-24-000061
- Filed
- Feb 23, 2024
- Trade date
- Feb 21-22, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.43M. 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 |
|---|---|
| Fradkin Steven LCIK 0001214324 | Officer (President/Wealth Management) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 21, 2024 | Common Stock | AGrant or awardAcquired | +11,731 | $0.00 | $0 | 55,707 | Direct | |
| Feb 22, 2024 | Common Stock | MOption exerciseAcquired | +30,392 | $58.25 | +$1,770,334 | 86,099 | Direct | |
| Feb 22, 2024 | Common Stock | SSaleDisposed | −30,392 | $80.11F2 | −$2,434,703.12 | 55,707 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 22, 2024 | Common Stock | MOption exerciseDisposed | −30,392 | $0.00 | $0 | 4,097 | 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 $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.
Referenced by the price of 1 transaction in Table I.