Registration of Additional Securities — Form S-3
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-3MEF Form S-3 6 27K
2: EX-5.1 Exhibit 5(A) Opinion of Schiff Hardin & Waite 3 12K
3: EX-5.2 Exhibit 5(B) Opinion of Richards, Layton & Finger 4 15K
4: EX-8 Opinion of Schiff Hardin & Waite 2 9K
5: EX-23.1 Exhibit 23(A) Consent of Arthur Andersen LLP 1 6K
S-3MEF — Form S-3
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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON APRIL 22, 1997
REGISTRATION NOS. 333-
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM S-3
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
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NORTHERN TRUST CORPORATION NTC CAPITAL II
(EXACT NAME OF REGISTRANT AS
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS TRUST AGREEMENT)
SPECIFIED IN ITS CHARTER)
DELAWARE
DELAWARE
(STATE OR OTHER JURISDICTION
OFINCORPORATION OR ORGANIZATION) (STATE OR OTHER JURISDICTION OF
INCORPORATION OR ORGANIZATION)
36-2723087
(I.R.S. EMPLOYER IDENTIFICATION NO.) 36-7169245
(I.R.S. EMPLOYER IDENTIFICATION NO.)
C/O NORTHERN TRUST CORPORATION
FIFTY SOUTH LASALLE STREET FIFTY SOUTH LASALLE STREET
CHICAGO, ILLINOIS 60675 CHICAGO, ILLINOIS 60675
(312) 630-6000 (312) 630-6000
(ADDRESS, INCLUDING ZIP CODE, AND
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA
TELEPHONE NUMBER, INCLUDING AREA CODE, OF REGISTRANT'S PRINCIPAL
CODE, OF REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES)
EXECUTIVE OFFICES)
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PETER L. ROSSITER
EXECUTIVE VICE PRESIDENT,
GENERAL COUNSEL AND SECRETARY
NORTHERN TRUST CORPORATION
FIFTY SOUTH LASALLE STREET
CHICAGO, ILLINOIS 60675
TEL: (312) 444-3716
FAX: (312) 630-1596
(NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER,
INCLUDING AREA CODE, OF AGENT FOR SERVICE OF EACH REGISTRANT)
WITH COPIES TO:
ROBERT J. MINKUS MICHAEL M. MANEY
SCHIFF HARDIN & WAITE SULLIVAN & CROMWELL
7200 SEARS TOWER 125 BROAD STREET
CHICAGO, ILLINOIS 60606 NEW YORK, NEW YORK 10004
TEL: (312) 258-5500 TEL: (212) 558-4000
FAX: (312) 258-5600 FAX: (212) 558-3588
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APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: as soon as
practicable after the Registration Statement becomes effective.
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If the only securities being registered on this Form are being offered
pursuant to dividend or interest reinvestment plans, please check the
following box. [_]
If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, other than securities offered only in connection with dividend or
interest reinvestment plans, check the following box. [_]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the following
box and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering. [X] 333-18951 and 333-
18951-02
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration number of the earlier effective registration statement for the
same offering. [_]
If delivery of the prospectus is expected to be made pursuant to Rule 434,
please check the following box. [_]
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(table and footnotes continued on next page)
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CALCULATION OF REGISTRATION FEE
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PROPOSED PROPOSED
AMOUNT MAXIMUM MAXIMUM AMOUNT OF
TITLE OF EACH CLASS OF TO BE OFFERING PRICE AGGREGATE REGISTRATION
SECURITIES TO BE REGISTERED REGISTERED PER UNIT OFFERING PRICE FEE
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Junior Subordinated Deferrable
Interest Debentures of Northern
Trust Corporation(1)........... $20,000,000 $1,000 $20,000,000 N/A
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Preferred Securities of
NTC Capital II................. $20,000,000 $1,000 $20,000,000 $6,060.61
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Northern Trust Corporation
Guarantee with respect to
Preferred Securities(2)(3)..... N/A N/A N/A N/A
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Total........................... $20,000,000(4) 100% $20,000,000(4) $6,060.61
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(1) The Junior Subordinated Deferrable Interest Debentures will be purchased
by NTC Capital II with the proceeds of the sale of the Preferred
Securities.
(2) No separate consideration will be received for the Northern Trust
Corporation Guarantees.
(3) This Registration Statement is deemed to cover the Junior Subordinated
Deferrable Interest Debentures of Northern Trust Corporation, the rights
of holders of Junior Subordinated Deferrable Interest Debentures of
Northern Trust Corporation under the Indenture, the rights of holders of
Preferred Securities of NTC Capital II under the Trust Agreement, and the
rights of holders of the Preferred Securities under the Guarantee and the
Expense Agreement that, taken together, fully, irrevocably and
unconditionally guarantee the obligations of NTC Capital II under the
Preferred Securities.
(4) Such amount represents the principal amount of Junior Subordinated
Deferrable Interest Debentures issued at their principal amount and the
issue price rather than the principal amount of Junior Subordinated
Deferrable Interest Debentures issued at an original issue discount. Such
amount also represents the initial public offering price of the Preferred
Securities of NTC Capital II.
2
STATEMENT PURSUANT TO SECURITIES ACT RULE 462(B)
This registration statement is being filed pursuant to Rule 462(b) under the
Securities Act of 1933 and General Instruction IV of Form S-3. The contents of
the Registration Statement on Form S-3 (registration nos. 333-18951 and 333-
18951-02) filed on December 30, 1996 by Northern Trust Corporation and NTC
Capital II (the "Prior Registration Statement"), including without limitation
Exhibit 24 thereto, are incorporated herein by reference.
EXHIBITS REQUIRED PURSUANT TO SECURITIES ACT RULE 462(B)
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5(a) Opinion of Schiff Hardin & Waite as to legality of the additional Junior
Subordinated Debentures and the Guarantees to be issued by the
Corporation.
5(b) Opinion of Richards, Layton & Finger as to legality of the additional
Preferred Securities to be issued by NTC Capital II.
8 Opinion of Schiff Hardin & Waite as to certain federal income tax
matters.
23(a) Consent of Arthur Andersen LLP.
23(b) Consent of Schiff Hardin & Waite (included in 5(a)).
23(c) Consent of Richards, Layton & Finger (included in 5(b)).
24 Powers of attorney (incorporated by reference to Exhibit 24 to the Prior
Registration Statement).
SIGNATURES
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, AS AMENDED,
NORTHERN TRUST CORPORATION CERTIFIES THAT IT HAS REASONABLE GROUNDS TO BELIEVE
THAT IT MEETS ALL OF THE REQUIREMENTS FOR FILING ON FORM S-3 AND HAS DULY
CAUSED THIS REGISTRATION STATEMENT TO BE SIGNED ON ITS BEHALF BY THE
UNDERSIGNED, THEREUNTO DULY AUTHORIZED, IN THE CITY OF CHICAGO, STATE OF
ILLINOIS, ON THE 22ND DAY OF APRIL, 1997.
Northern Trust Corporation
(Registrant)
/s/ Perry R. Pero
By: _________________________________
Perry R. Pero
Senior Executive Vice President
and
Chief Financial Officer
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THIS
REGISTRATION STATEMENT HAS BEEN SIGNED BY THE FOLLOWING PERSONS IN THE
CAPACITIES INDICATED ON THE DATES INDICATED.
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SIGNATURE TITLE DATE
--------- ----- ----
William A. Osborn* Chairman and Chief Executive April 22, 1997
____________________________________ Officer
William A. Osborn
/s/ Perry R. Pero Senior Executive Vice April 22, 1997
____________________________________ President and Chief
Perry R. Pero Financial Officer
Harry W. Short* Senior Vice President and April 22, 1997
____________________________________ Controller (Chief
Harry W. Short Accounting Officer)
Director
____________________________________
Duane L. Burnham
Director
____________________________________
Susan Crown
Dolores E. Cross* Director April 22, 1997
____________________________________
Dolores E. Cross
Robert S. Hamada* Director April 22, 1997
____________________________________
Robert S. Hamada
Barry G. Hastings* Director April 22, 1997
____________________________________
Barry G. Hastings
Robert A. Helman* Director April 22, 1997
____________________________________
Robert A. Helman
Arthur L. Kelly* Director April 22, 1997
____________________________________
Arthur L. Kelly
II-1
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SIGNATURE TITLE DATE
--------- ----- ----
Frederick A. Krehbiel* Director April 22, 1997
____________________________________
Frederick A. Krehbiel
William G. Mitchell* Director April 22, 1997
____________________________________
William G. Mitchell
Edward J. Mooney* Director April 22, 1997
____________________________________
Edward J. Mooney
Director
____________________________________
Harold B. Smith
William D. Smithburg* Director April 22, 1997
____________________________________
William D. Smithburg
Bide L. Thomas* Director April 22, 1997
____________________________________
Bide L. Thomas
/s/ Perry R. Pero
*By____________________________
Perry R. Pero
Attorney-in-Fact
II-2
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, NTC CAPITAL II
CERTIFIES THAT IT HAS REASONABLE GROUNDS TO BELIEVE THAT IT MEETS ALL THE
REQUIREMENTS FOR FILING ON FORM S-3 AND HAS DULY CAUSED THIS REGISTRATION
STATEMENT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED, THEREUNTO DULY
AUTHORIZED, IN THE CITY OF CHICAGO, AND STATE OF ILLINOIS ON THE 22ND DAY OF
APRIL, 1997.
NTC Capital II
By: Northern Trust Corporation, as
Depositor
/s/ Perry R. Pero
By: _________________________________
Perry R. Pero
Senior Executive Vice President
and Chief Financial Officer
II-3
Dates Referenced Herein and Documents Incorporated by Reference
| Referenced-On Page |
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| This ‘S-3MEF’ Filing | | Date | | First | | Last | | | Other Filings |
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| |  |
| | 4/23/97 |
| Filed on / Effective on: | | 4/22/97 | | 1 | | 5 |
| | 12/30/96 | | 3 | | | | | S-3 |
| List all Filings |
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