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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MORRISON WILLIAM L 50 SOUTH LASALLE STREET CHICAGO, IL 60603 |
EVP & CFO |
Paul A. Bernacki Attorney-in-Fact for William L. Morrison | 10/27/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
(2) | On October 23, 2009, 15,000 already reported and vested stock units, granted on February 17, 2004, were distributed to the reporting person; 11,032 stock units were distributed to the reporting person as common stock of NTRS, and 3,968 stock units were withheld in payment of Federal, State and Medicare taxes. |
(3) | On October 23, 2009, 5,000 already reported and vested stock units, granted on February 15, 2005, were distributed to the reporting person, 3,376 stock units were distributed to the reporting person as common stock of NTRS, and 1,624 stock units were withheld in payment of Federal, State and Medicare taxes. |
(4) | On October 23, 2009, 3,519 already reported and vested stock units, granted on February 21, 2006 were distributed to the reporting person; 2,236 stock units were distributed to the reporting person as common stock of NTRS, and 1,283 stock units were withheld in payment of Federal, State and Medicare taxes. |
(5) | as of 9/30/2009 |