SEC Form 4 · accession 0000073124-15-000021
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman and CEO · Director
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 5:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000073124
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 20, 2015 | A | 53,456 | $0.00 | A | 265,205 | D | |
| Common StockF1 | Jan 20, 2015 | F | 22,138 | $62.26 | D | 243,067 | D | |
| Common Stock | holding | — | — | — | 89,158 | I | By Trust | |
| Common Stock | holding | — | — | — | 65,268 | I | GRATs | |
| Common Stock | holding | — | — | — | 8,710 | I | By Spouse | |
| Common Stock | holding | — | — | — | 33,117 | I | 401(k) as of 12-31-2014 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 211,629 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.