Stephen N Potter
CIK 1378549 · View on SEC EDGAR ↗
First SEC filing: Dec. 17, 2018 · Latest: Dec. 17, 2018
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Jan. 5, 2024 | NCDL | P | 4,351 | $18.05 | $78,536 | 26,824 Indirect | +19.36% | Acquired | -31.4% (price as of 2026-08-20) |
| Nov. 3, 2023 | NCDL | P | 3,033 | $18.19 | $55,170 | 22,473 Indirect | +15.60% | Acquired | -31.9% (price as of 2026-08-20) |
| Jan. 21, 2022 | NCDL | P | 321 | $19.46 | $6,247 | 19,440 Indirect | +1.68% | Acquired | -36.4% (price as of 2026-08-20) |
| Dec. 9, 2021 | NCDL | P | 1,091 | $19.58 | $21,362 | 19,119 Indirect | +6.05% | Acquired | -36.8% (price as of 2026-08-20) |
| Nov. 1, 2021 | NCDL | P | 763 | $19.40 | $14,802 | 18,028 Indirect | +4.42% | Acquired | -36.2% (price as of 2026-08-20) |
| Aug. 24, 2021 | NCDL | P | 1,530 | $19.28 | $29,498 | 17,265 Indirect | +9.72% | Acquired | -35.8% (price as of 2026-08-20) |
| Nov. 6, 2020 | NCDL | P | 15,735 | $18.71 | $294,402 | 15,735 Indirect | — | Acquired | -33.8% (price as of 2026-08-20) |
| Dec. 13, 2018 | NTRSO | S | 141 | $86.90 | $12,253 | 8,181 Indirect | -1.69% | Disposed | -78.8% (price as of 2026-08-20) |
| Jan. 31, 2018 | NTRSO | S | 3,551 | $105.55 | $374,808 | 0 Indirect | -100.00% | Disposed | -82.6% (price as of 2026-08-20) |
| Jan. 31, 2018 | NTRSO | S | 3,552 | $105.55 | $374,914 | 0 Indirect | -100.00% | Disposed | -82.6% (price as of 2026-08-20) |
| Jan. 26, 2018 | NTRSO | S | 10,000 | $106.14 | $1,061,400 | 28,674 Indirect | -25.86% | Disposed | -82.7% (price as of 2026-08-20) |
| July 5, 2017 | NTRSO | S 10b5-1 | 11,574 | $99.07 | $1,146,636 | 42,913 Direct | -21.24% | Disposed | -81.4% (price as of 2026-08-20) |
| July 3, 2017 | NTRSO | S 10b5-1 | 16,895 | $99.09 | $1,674,126 | 42,913 Direct | -28.25% | Disposed | -81.4% (price as of 2026-08-20) |
| June 19, 2017 | NTRSO | S 10b5-1 | 48,110 | $95.20 | $4,580,072 | 42,913 Direct | -52.85% | Disposed | -80.7% (price as of 2026-08-20) |
| Nov. 14, 2016 | NTRSO | S 10b5-1 | 35,975 | $81.54 | $2,933,402 | 46,018 Direct | -43.88% | Disposed | -77.5% (price as of 2026-08-20) |
| Nov. 14, 2016 | NTRSO | S 10b5-1 | 29,104 | $80.64 | $2,346,947 | 81,993 Direct | -26.20% | Disposed | -77.2% (price as of 2026-08-20) |
| Nov. 11, 2016 | NTRSO | S 10b5-1 | 6,160 | $80.00 | $492,800 | 46,018 Direct | -11.81% | Disposed | -77.0% (price as of 2026-08-20) |
| Nov. 9, 2016 | NTRSO | S 10b5-1 | 53,749 | $76.30 | $4,101,049 | 46,018 Direct | -53.87% | Disposed | -75.9% (price as of 2026-08-20) |
| Nov. 9, 2016 | NTRSO | S 10b5-1 | 72,321 | $75.26 | $5,442,878 | 99,767 Direct | -42.03% | Disposed | -75.6% (price as of 2026-08-20) |
| June 22, 2015 | NTRSO | S 10b5-1 | 26,042 | $78.00 | $2,031,276 | 41,106 Direct | -38.78% | Disposed | -76.4% (price as of 2026-08-20) |
| July 31, 2014 | NTRSO | S 10b5-1 | 58,836 | $67.16 | $3,951,426 | 22,858 Indirect | -72.02% | Disposed | -72.6% (price as of 2026-08-20) |
| July 30, 2014 | NTRSO | S 10b5-1 | 8,000 | $68.00 | $544,000 | 22,858 Indirect | -25.93% | Disposed | -73.0% (price as of 2026-08-20) |
| July 22, 2014 | NTRSO | S 10b5-1 | 6,000 | $66.00 | $396,000 | 30,858 Indirect | -16.28% | Disposed | -72.1% (price as of 2026-08-20) |
| June 17, 2014 | NTRSO | S 10b5-1 | 4,000 | $64.50 | $258,000 | 36,858 Indirect | -9.79% | Disposed | -71.5% (price as of 2026-08-20) |
| June 17, 2014 | NTRSO | S 10b5-1 | 2,000 | $63.00 | $126,000 | 40,858 Indirect | -4.67% | Disposed | -70.8% (price as of 2026-08-20) |
| Jan. 8, 2014 | NTRSO | S 10b5-1 | 23,030 | $62.00 | $1,427,860 | 32,911 Indirect | -41.17% | Disposed | -70.3% (price as of 2026-08-20) |
| July 22, 2013 | NTRSO | S | 1,769 | $59.48 | $105,220 | 32,911 Indirect | -5.10% | Disposed | -69.1% (price as of 2026-08-20) |
| July 16, 2013 | NTRSO | S 10b5-1 | 1,150 | $62.00 | $71,300 | 32,911 Indirect | -3.38% | Disposed | -70.3% (price as of 2026-08-20) |
| May 15, 2013 | NTRSO | S 10b5-1 | 30,000 | $57.02 | $1,710,600 | 32,911 Indirect | -47.69% | Disposed | -67.8% (price as of 2026-08-20) |
| April 18, 2013 | NTRSO | S | 6,634 | $52.54 | $348,550 | 32,911 Indirect | -16.78% | Disposed | -65.0% (price as of 2026-08-20) |
| April 11, 2013 | NTRSO | S 10b5-1 | 23,231 | $56.00 | $1,300,936 | 39,545 Indirect | -37.01% | Disposed | -67.2% (price as of 2026-08-20) |
Showing latest 100 of 185 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| July 5, 2017 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (11,574) | $52.69 | Feb. 11, 2023 | 11,574 | Disposed |
| July 3, 2017 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (16,895) | $52.69 | Feb. 11, 2023 | 16,895 | Disposed |
| June 19, 2017 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (48,110) | $43.65 | Feb. 13, 2022 | 48,110 | Disposed |
| Feb. 21, 2017 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (26,132) | $88.06 | Feb. 21, 2027 | 26,132 | Acquired |
| Nov. 14, 2016 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (65,079) | $52.64 | Feb. 14, 2021 | 65,079 | Disposed |
| Nov. 11, 2016 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (6,160) | $52.64 | Feb. 14, 2021 | 6,160 | Disposed |
| Nov. 9, 2016 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (90,270) | $57.54 | July 21, 2019 | 90,270 | Disposed |
| Nov. 9, 2016 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (35,800) | $71.23 | Feb. 19, 2018 | 35,800 | Disposed |
| Feb. 16, 2016 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (34,489) | $58.25 | Feb. 16, 2026 | 34,489 | Acquired |
| June 22, 2015 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (26,042) | $63.36 | Feb. 20, 2017 | 26,042 | Disposed |
| Feb. 17, 2015 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (23,739) | $70.21 | Feb. 17, 2025 | 23,739 | Acquired |
| July 31, 2014 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (58,836) | $50.99 | Feb. 15, 2020 | 58,836 | Disposed |
| Feb. 10, 2014 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (24,651) | $60.85 | Feb. 10, 2024 | 24,651 | Acquired |
| Jan. 8, 2014 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (23,030) | $52.10 | Feb. 21, 2016 | 23,030 | Disposed |
| July 22, 2013 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (1,769) | $49.12 | Feb. 17, 2014 | 1,769 | Disposed |
| July 16, 2013 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (1,150) | $52.10 | Feb. 21, 2016 | 1,150 | Disposed |
| May 15, 2013 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (30,000) | $44.46 | Feb. 15, 2015 | 30,000 | Disposed |
| April 11, 2013 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (23,231) | $49.12 | Feb. 17, 2014 | 23,231 | Disposed |
| Feb. 11, 2013 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (28,469) | $52.69 | Feb. 11, 2023 | 28,469 | Acquired |
| April 19, 2012 | NTRSO | Employee Stock Option (right to buy) | Common Stock (3,680) | $32.62 | Feb. 18, 2013 | 3,680 | Disposed |
| April 19, 2012 | NTRSO | Employee Stock Option (right to buy) | Common Stock (21,934) | $32.62 | Feb. 18, 2013 | 21,934 | Disposed |
| Feb. 13, 2012 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (48,110) | $43.65 | Feb. 13, 2022 | 48,110 | Acquired |
| Feb. 14, 2011 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (71,239) | $52.64 | Feb. 14, 2021 | 71,239 | Acquired |
| April 22, 2010 | NTRSO | Employee Stock Option (right to buy) | Common Stock (3,066) | $32.62 | Feb. 18, 2013 | 3,066 | Disposed |
| Feb. 15, 2010 | NTRSO | Employee Stock Option (right to buy) | Common Stock (58,836) | $50.99 | Feb. 15, 2020 | 58,836 | Acquired |
| July 21, 2009 | NTRSO | Employee Stock Option (right to buy) | Common Stock (90,270) | $57.54 | July 21, 2019 | 90,270 | Acquired |
| March 6, 2009 | NTRSO | Employee Stock Option (right to buy) [F3] | Common Stock (90,270) | $55.39 | Feb. 16, 2019 | 90,270 | Disposed |
| Feb. 16, 2009 | NTRSO | Employee Stock Option (right to buy) | Common Stock (90,270) | $55.39 | Feb. 16, 2019 | 90,270 | Acquired |
| July 18, 2008 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (19,572) | $45.16 | May 13, 2009 | 19,572 | Disposed |
| April 17, 2008 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (4,428) | $41.16 | May 13, 2009 | 4,428 | Disposed |
| Feb. 19, 2008 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (35,800) | $71.23 | Feb. 19, 2018 | 35,800 | Acquired |
| Jan. 18, 2008 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (2,890) | $34.59 | Sept. 15, 2008 | 2,890 | Disposed |
| April 23, 2007 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (13,110) | $34.59 | Sept. 15, 2008 | 13,110 | Disposed |
| April 23, 2007 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (13,110) | $34.59 | Sept. 15, 2008 | 13,110 | Disposed |
| Feb. 20, 2007 | NTRSO | Employee Stock Option (right-to-buy) | Common Stock (26,042) | $63.36 | Feb. 20, 2017 | 26,042 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 16 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Oct. 19, 2006 | NTRSO | Common Stock | 26,952 | Direct |
| Oct. 19, 2006 | NTRSO | Common Stock | 880 | Indirect |
| Oct. 19, 2006 | NTRSO | Common Stock | 880 | Indirect |
| Oct. 19, 2006 | NTRSO | Common Stock | 8,265 | Indirect |
| Oct. 19, 2006 | NTRSO | Common Stock [F9] | 24,188 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (16,000) | 16,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (24,000) | 24,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (25,000) | 25,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (20,000) | 20,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (1,295) | 1,295 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (20,000) | 20,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (3,680) | 3,680 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (25,000) | 25,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (25,000) | 25,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (30,000) | 30,000 | Direct |
| Oct. 19, 2006 | NTRSO | Employee Stock Option (right-to-buy)→ Common Stock (24,180) | 24,180 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
NTRSO
President—Northern Trust Global Investments| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2011 | $587,500 | — | $1,250,042 | $1,119,358 | $650,000 | $1,390,523 | $26,821 | $5,024,244 |
| 2010 | $537,500 | — | $1,000,016 | $850,769 | $675,000 | $1,017,805 | $22,008 | $4,103,098 |
| 2009 | $500,000 | — | $865,689 | $1,656,319 | $675,000 | $341,576 | $28,102 | $4,066,686 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.