Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): April 19, 2011

 

 

Northern Trust Corporation

(Exact name of Registrant as specified in its charter)

 

 

 

Delaware   0-5965   36-2723087

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

50 South LaSalle Street, Chicago, Illinois   60603
(Address of principal executive offices)   (Zip Code)

(312) 630-6000

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


Item 5.07. Submission of Matters to a Vote of Security Holders.

(a) – (b) The annual meeting of the stockholders of Northern Trust Corporation (the “Corporation”) was held on April 19, 2011 for the purposes of (i) electing 13 directors to hold office until the next annual meeting of stockholders, (ii) holding an advisory vote on executive compensation, (iii) holding an advisory vote on whether the Corporation should hold an advisory vote on executive compensation every one, two, or three years and (iv) ratifying the appointment of KPMG LLP as the Corporation’s independent registered public accounting firm for the 2011 fiscal year.

All of management’s nominees for director as named in the proxy statement for the meeting were elected by the votes set forth in the table below.

 

     FOR      WITHHELD      BROKER
NON-VOTES
 

Election of Directors

        

Linda Walker Bynoe

     189,393,403         10,989,271         13,447,796   

Nicholas D. Chabraja

     194,113,966         6,268,708         13,447,796   

Susan Crown

     192,368,180         8,014,494         13,447,796   

Dipak C. Jain

     194,005,895         6,376,779         13,447,796   

Robert W. Lane

     198,279,638         2,103,036         13,447,796   

Robert C. McCormack

     192,298,523         8,084,151         13,447,796   

Edward J. Mooney

     194,226,156         6,156,518         13,447,796   

John W. Rowe

     194,660,409         5,722,265         13,447,796   

Martin P. Slark

     194,788,490         5,594,184         13,447,796   

David H.B. Smith, Jr.

     197,949,418         2,433,256         13,447,796   

Enrique J. Sosa

     194,265,893         6,116,781         13,447,796   

Charles A. Tribbett III

     198,252,357         2,130,317         13,447,796   

Frederick H. Waddell

     193,290,545         7,092,129         13,447,796   

The Corporation’s executive compensation was approved, on advisory basis, by the votes set forth in the table below.

 

     FOR      AGAINST      ABSTENTIONS      BROKER
NON-VOTE
 

Advisory vote on executive compensation

     132,332,754         65,414,347         2,634,947         13,448,422   

The Corporation’s stockholders have indicated their preference that an advisory vote on executive compensation be held annually by the votes set forth in the table below.

     1 YEAR      2 YEARS      3 YEARS      ABSTENTIONS      BROKER
NON-VOTE
 

Advisory vote on frequency of advisory vote on executive compensation

     174,666,826         1,176,460         21,916,777         2,622,611         13,447,796   


The appointment of KPMG LLP as the Corporation’s independent registered public accounting firm for the 2011 fiscal year was ratified by the votes set forth in the table below.

 

     FOR      AGAINST      ABSTENTIONS      BROKER
NON-VOTE
 

Ratification of independent registered accounting firm

     211,187,428         2,258,372         384,670         N/A   

(d) On April 19, 2011, following the Corporation’s annual meeting of stockholders, the Corporation’s board of directors adopted a resolution providing that an advisory vote on executive compensation would be held annually until the next required vote on the frequency of such votes.


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    Northern Trust Corporation
Date: April 21, 2011     By:  

/s/ Rose A. Ellis

     

Rose A. Ellis

Corporate Secretary