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October 13, 2015 9:54 AM ET

Capital Markets

Company Overview of Northern Trust Global Investments

Company Overview

Northern Trust Global Investments is a privately owned asset management holding company. The firm invests in public equity markets. Northern Trust Global Investments is based in Chicago, Illinois, with additional offices in Washington, Hong Kong, and Tokyo, Japan.

50 South LaSalle Street

Chicago, IL 60603

United States

Key Executives for Northern Trust Global Investments

Chief Executive Officer, Chief Investment Officer of Asset Management for EMEA and APAC, and Chief Investment Officer of International Markets
President and Executive Vice President
Age: 58
Chief Investment Officer and Executive Vice President
Age: 49
Chief Investment Strategist
Vice President and Quantitative Equity Portfolio Manager of Domestic Passive Index Portfolios
Compensation as of Fiscal Year 2015.

Northern Trust Global Investments Key Developments

Northern Trust Investments Agrees to Settle Securities Lending Suit

Northern Trust Investments has agreed to pay $36 million to settle a lawsuit claiming it violated the Employee Retirement Income Security Act (ERISA) in handling retirement plan assets invested in its securities lending program. The lawsuit alleges that Northern Trust breached its duties to retirement plans and their participants and beneficiaries by imprudently investing collateral received from securities lending activities and by charging impermissibly high fees. Plaintiffs Joseph Diebold, representing the ExxonMobil Savings Plan, and Paul Hundt, representing the Texas Instruments 401(k) Savings Plan, filed the lawsuit in 2009, alleging Northern Trust Investments and Northern Trust Co. had ignored warning signs indicating a different investment strategy was in order. The proposed settlement has been achieved on behalf of retirement funds that invested in Northern Trust's Commingled Lending Funds, which participated in Northern Trust's securities lending program, during the period January 1, 2007, through October 31, 2010. According to the settlement agreement, Northern Trust is entering into the agreement solely to eliminate the burden, expense and distraction of further litigation. The settlement is not an admission of any guilt.

Northern Trust Asset Management Launches Global Small Cap Institutional Fund

Northern Trust Asset Management has launched a new fund for institutional investors that encompasses quality small capitalization stocks across global developed equity markets. The fund is designed to efficiently capture the premium associated with high quality small capitalization stocks while minimizing uncompensated risk factors. The new collective trust fund is available to U.S. defined benefit and defined contribution retirement plans and Northern Trust intends to offer the global small cap strategy to a range of investors through separate accounts and other fund structures.

Mamadou-Abou Sarr Joins Northern Trust Asset Management as Global Head of Environmental Social and Governance Investing

Mamadou-Abou Sarr has been named global head of environmental social and governance investing at Northern Trust Asset Management. According to the firm, this is a newly created role designed to meet increasing demand for responsible investing strategies in markets worldwide. As global head of ESG-Asset Management, Sarr will lead ESG innovation and product development across Northern Trust's array of asset class capabilities. He will focus on expanding into new opportunities for ESG growth in the global institutional and wealth management markets. Based in Abu-Dhabi, Sarr will report to Wayne Bowers, head of asset management-EMEA & APAC, and will work closely with the global equity strategist team, providing thought leadership and comprehensive investment solutions across the spectrum of equity, including Northern Trust's factor-based engineered equity solutions. He will also collaborate with Multi-Manager Investments on outsourced chief investment officer solutions that include ESG considerations. Sarr has more than ten years of investment experience, including roles at HSBC Global Asset Management, Morgan Stanley Investment Management and other firms prior to Northern Trust.

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