SEC Form 4 · accession 0000073124-15-000035

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President

Period of report

Feb 6, 2015

Accepted (ET)

Feb 10, 2015 · 6:07 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 Stock^F1	Feb 6, 2015	M	28,376	$43.65	A	185,170	D
Common Stock^F2,F1	Feb 6, 2015	S	28,376	$69.803	D	156,794	D
Common Stock^F1	Feb 9, 2015	M	11,716	$43.65	A	168,510	D
Common Stock^F3,F1	Feb 9, 2015	S	11,716	$69.029	D	156,794	D
Common Stock	holding	—	—		—	1,200	I	By Spouse
Common Stock	holding	—	—		—	350	I	By Children
Common Stock	holding	—	—		—	2,549	I	401(k) as of 12/31/14

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right-to-buy)^F4	$43.65	Feb 6, 2015	M	28,376	D	—	Feb 13, 2022	Common Stock	28,376	51,808	D
Employee Stock Option (right-to-buy)^F4	$43.65	Feb 9, 2015	M	11,716	D	—	Feb 13, 2022	Common Stock	11,716	40,092	D

F1Includes 64,436 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2Price reflects the weighted average sales price from $69.61 to $69.93. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F3Price reflects the weighted average sales price from $69.00 to $69.11. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F4This option becomes exercisable in four equal annual installments beginning 2/13/2013.