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| NTRS > SEC Filings for NTRS > Form 8-K on 29-Jan-2009 | All Recent SEC Filings |
29-Jan-2009
Creation of a Direct Financial Obligation or an Obligation under an Off-Balan
In accordance with its previously reported announcement of actions to support clients in light of the current turbulent market conditions, the Board of Directors of Northern Trust Corporation (the "Corporation") has authorized the Corporation to enter into amendments to the Capital Support Agreements it originally entered into on February 21, 2008 or, in one instance, on September 29, 2008, with nine registered investment companies, pooled cash funds organized as Undertakings for the Collective Investment of Transferable Securities, securities lending collateral pools and commingled cash funds. The amendments extend the expiration date under the Capital Support Agreements from February 28, 2009 until November 6, 2009. The amendments to the Capital Support Agreements with the registered investment companies are subject to Securities and Exchange Commission ("SEC") approval.
The amendments that are not subject to SEC approval were entered into on January 26, 2009, and copies are filed as Exhibits 10.1 through 10.5 hereto. A form of the remaining amendments, which are expected to be executed upon receipt of SEC approval, is filed as Exhibit 10.6 hereto.
(d) Exhibits.
10.1 Amendment No. 3 to Capital Support Agreement, dated January 26, 2009, between Northern Trust Corporation and Northern Trust Global Funds plc on behalf of its sub-fund The Sterling Fund
10.2 Amendment No. 3 to Capital Support Agreement, dated January 26, 2009, between Northern Trust Corporation and Northern Trust Global Funds plc on behalf of its sub-fund The U.S. Dollar Fund
10.3 Amendment No. 1 to Amended and Restated Capital Support Agreement, dated January 26, 2009, between Northern Trust Corporation and Northern Trust Investments, N.A., as Trustee on behalf of the NTGI Collective Short Term Investment Fund
10.4 Amendment No. 2 to Capital Support Agreement, dated January 26, 2009, between Northern Trust Corporation and The Northern Trust Company, as Securities Lending Agent on behalf of the Core Select Securities Lending Cash Collateral Pool
10.5 Amendment No. 1 to Capital Support Agreement, dated January 26, 2009, between Northern Trust Corporation and The Northern Trust Company on behalf of The Northern Trust Company Common Short Term Investment Fund
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