SEC Form 4 · accession 0000073124-15-000029
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 23, 2015
Accepted (ET)
Jan 27, 2015 · 7:14 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,F2 | Jan 23, 2015 | G | 2,981 | $0.00 | D | 126,892 | I | By Trust |
| Common StockF1,F3 | holding | — | — | — | 211,749 | D | ||
| Common StockF2 | holding | — | — | — | 55,871 | 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
- F1Reflects the January 22, 2015 transfer of 31,318 shares previously directly held by the reporting person into the reporting person's existing revocable trust account.
- F2On January 23, 2015, the reporting person's beneficially owned grantor retained annuity trust distributed 9,397 shares to the reporting person's existing revocable trust as an annuity payment in accordance with the terms of the GRAT instrument.
- F3Includes 211,629 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.