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 16, 2013

 

 

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.

The annual meeting of the stockholders of the Corporation was held on April 16, 2013 for the purposes of (i) electing 12 directors to hold office until the next annual meeting of stockholders, (ii) holding an advisory vote on executive compensation, (iii) ratifying the appointment of KPMG LLP as the Corporation’s independent registered public accounting firm for the 2013 fiscal year and (iv) holding a vote on one stockholder proposal.

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

     198,280,098         3,134,579         11,365,082   

Nicholas D. Chabraja

     154,877,019         46,537,658         11,365,082   

Susan Crown

     194,977,588         6,437,089         11,365,082   

Dipak C. Jain

     196,580,234         4,834,443         11,365,082   

Robert W. Lane

     199,714,150         1,700,527         11,365,082   

Edward J. Mooney

     194,607,716         6,806,961         11,365,082   

Jose Luis Prado

     200,051,996         1,362,681         11,365,082   

John W. Rowe

     193,936,804         7,477,873         11,365,082   

Martin P. Slark

     197,418,833         3,995,844         11,365,082   

David H.B. Smith, Jr.

     199,900,172         1,514,505         11,365,082   

Charles A. Tribbett III

     199,918,543         1,496,134         11,365,082   

Frederick H. Waddell

     191,951,345         9,463,332         11,365,082   

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

     173,382,924         25,169,359         2,862,394         11,365,082   

The appointment of KPMG LLP as the Corporation’s independent registered public accounting firm for the 2013 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

     210,001,899         2,233,073         544,787         N/A   

 


The stockholder proposal regarding additional disclosure of political and lobbying contributions was defeated, by the votes set forth in the table below.

 

    FOR     AGAINST     ABSTENTIONS     BROKER
NON-VOTE
 

Stockholder proposal regarding additional disclosure of political and lobbying contributions

    52,730,337        120,095,362        28,588,978        11,365,082   


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 17, 2013   By:   /s/ Rose. A. Ellis
   

Rose A. Ellis

Corporate Secretary