Stephen N Potter

CIK 1378549 · View on SEC EDGAR ↗

Insider

First SEC filing: Dec. 17, 2018 · Latest: Dec. 17, 2018

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Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 69 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

69 other filings hidden
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.