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Northern Trust Corp. 
 IL
  SEC # 73124

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3,832  SEC Filings
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  from  1/4/94  to  3/6/24  (3 Weeks Ago)

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Most-Recent Filing:    ‘DEFA14A’ — Definitive Additional Proxy Soliciting Material — Schedule 14A — Filed as:  Filer / Offerer 
 
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Forms
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, Documents
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& Exhibits
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 in  1,154 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/6/24 New Document this Past Month!DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  New Document this Past Month! 17
3/6/24 New Document this Past Month!DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  New Document this Past Month!  — Financial Reports
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34
3/6/24 New Document this Past Month!ARSUpdate:  Annual Reports to Security Holders  New Document this Past Month! 15
3/6/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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329

8-K Items: 
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8/2/12 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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13
2/21/07 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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1
1/18/24
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  Financial Info: 
Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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79
8/2/12 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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7
11/17/08 OLD
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  Securities & Trading: 
Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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1
11/5/19 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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4
12/6/23
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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41
11/18/22 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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20
2/23/17 OLD"Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans — Item 5.04  OLD 2
4/17/13 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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6
4/27/23"Submission of Matters to a Vote of Security Holders — Item 5.07 — ‘EX-22’
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14
1/18/24
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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81
3/6/24 New Document this Past Month!
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  Events: 
Other Events — Item 8.01  New Document this Past Month! 39
1/18/24
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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235

2/27/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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33
2/14/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G349
2/13/2413F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management
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112
10/31/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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99
8/4/23S-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-36
6/23/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K34
10/27/22 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 10
10/26/22 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 19
10/26/22 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 22
11/25/19 OLDCERTTrading:  Certification by a Securities Exchange Approving a Listing — Form CERT  OLD 1
11/21/19 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2
4/26/17 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 18
12/7/16 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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21
8/29/14 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
11/22/11 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 3
11/1/10 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 7
3/6/09 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 5
3/19/08 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
3/14/06 OLDNO ACTSEC:  SEC No-Action Letter re: a Shareholder Proposal  OLD 1
6/29/05 OLDSEUpdate:  Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings — Form SE  OLD 3
12/16/03 OLDPOS AMRegistration:  Post-Effective Amendment of a Registration Statement  OLD 1
5/20/03 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 5
3/7/02 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
10/28/99 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 5
6/2/99 OLDRWRegistration:  Registration Withdrawal Request  OLD 1
2/19/99 OLD8-A12GRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 6
10/27/97 OLDS-8 POSRegistration:  Post-Effective Amendment of a Form S-8 Registration  OLD 1
4/22/97 OLDS-3MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD 1
12/31/96 OLD424ARegistration:  Prospectus – Info Substantively Changed or Added  OLD 1
3/12/96 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 2
2/29/96 OLD15-12GRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
4/7/95 OLD10-CUpdate:  Reports of Changes in the Number of Shares Outstanding and Issuer Name Changes by Issuers of Securities Quoted on the Nasdaq Stock Market — Form 10-C  OLD 2
1/18/95 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 4

Form-Specific Documents: 
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2/13/24INFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management
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46

General Exhibits: 
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2/27/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/27/24EX-23Consents of Experts and Counsel84
2/27/24EX-4Instruments, Including Indentures, Defining the Rights of Security Holders125
2/27/24EX-10Material Contracts395
2/27/24EX-21Subsidiaries Lists31
8/4/23EX-FILING FEESFiling Fees3
8/4/23EX-5Opinions of Counsel re: Legality55
8/4/23EX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-235
11/18/22 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 35
11/2/22 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 164
2/26/14 OLDEX-13Annual and Quarterly Reports to Security Holders  OLD 25
2/26/14 OLDEX-24Powers of Attorney  OLD 83
2/13/14 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 7
4/17/13 OLDEX-14Codes of Ethics  OLD 6
4/22/97 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 4
2/8/96 OLDEX-22Published Reports re: Matters Submitted to Votes of Security Holders  OLD 2

Additional Exhibits: 
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1/18/24EX-99  &  EX-99.*Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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EX-99.*  Form-Specific Exhibits...  Form N-14:  1 Articles of Incorporation/Organization
342

Financials: 
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3/6/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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6,962
3/6/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 518
3/6/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 61
3/6/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
98
3/6/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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106
2/27/24EX-31Certifications — §302 – SOA’02165
2/27/24EX-32Certifications — §906 – SOA’0286
7/31/17 OLDEX-12Statements re: Computations of Ratios  OLD 6
11/13/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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33
11/12/97 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 16

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3/6/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 2,813

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


9 Related Managers who also Reported Holdings for this Manager

As Of
In descending order
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/14/2412/31/23  400 of 438  $878,278  
 UT
 
FJ Investments, LLC
2/14/2412/31/23  18 of 6,288  $29,831  
Flag of United Kingdom emoji
 
Janus Henderson Group plc
2/12/2412/31/23  2 of 2  $3,145,554  
 MI
 
Kellogg W K Foundation Trust
2/12/2412/31/23  10 of 3,386  $9,855  
 SD
 
Dorsey & Whitney Trust Co. LLC
2/8/2412/31/23  6 of 19  $9,268  
 MA
 
Westwood Global Investments, LLC
8/14/236/30/23  49 of 174  $19,733  
 CA
 
Aristotle Capital Management, LLC
8/14/236/30/23  44 of 255  $12  
 IL
 
Ariel Investments, LLC
11/15/219/30/21  11 of 62  $18  
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Ashmore Group plc
11/14/149/30/14  NA of 251  NA  
 WI
 
Geneva Capital Management LLC


Forms
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, Documents
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& Exhibits
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 in  2,729 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 665859
 

        
Latest Filing  Type    Category    Description        Documents
     
3/5/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 2,530
2/22/24144Ownership:  Notice of a Proposed Sale of Securities by an Insider — Form 1441
2/13/245Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 511
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G84
12/14/233Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 355
10/26/22 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 19
12/31/19 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1

Letters: 
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12/15/16 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC28

General Exhibits: 
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12/14/23EX-24Powers of Attorney64
2/12/21 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 17
2/13/14 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1

Additional Exhibits: 
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12/31/19 OLDEX-99Miscellaneous Exhibit  OLD 1

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10/26/22 OLDGRAPHICPhotos, Images and Graphs  OLD 23


        

Filings History

Year    # of Filings
In descending order
2024 62
2023 115
2022 129
2021 162
2020 159
2019 151
2018 174
2017 183
2016 190
2015 145
2014 175
2013 167
2012 131
2011 109
2010 126
2009 173
2008 202
2007 206
2006 178
2005 166
2004 172
2003 171
2002 64
2001 28
2000 33
1999 51
1998 48
1997 53
1996 47
1995 29
1994 33

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