SEC Form 4 · accession 0000073124-15-000055
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Gillian Pembleton
Officer — EVP, Human Resources
Period of report
Feb 13, 2015
Accepted (ET)
Feb 18, 2015 · 7:48 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 | Feb 13, 2015 | F | 194 | $70.31 | D | 9,978 | D | |
| Common StockF3,F4 | Feb 17, 2015 | F | 335 | $70.03 | D | 9,643 | D | |
| Common Stock | holding | — | — | — | 1,809 | I | UK Employee Share Ownership Plan as of 12/31/2014 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 3,903 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2On February 13, 2015, 411 already reported stock units granted on February 13, 2012 vested. 194 were withheld in payment of Federal, State and Medicare taxes.
- F3Includes 3,191 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F4On February 17, 2015, 712 already reported stock units, granted on February 14, 2011, were distributed to the reporting person. 377 were distributed to the reporting person as shares of the Corporation's common stock and 335 were withheld in payment of Federal, State and Medicare taxes.