SEC Form 4 · accession 0000073124-15-000059
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
Feb 17, 2015
Accepted (ET)
Feb 18, 2015 · 7:49 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,F3 | Feb 17, 2015 | F | 17,364 | $70.03 | D | 173,755 | D | |
| Common StockF3 | holding | — | — | — | 147,522 | I | By Trust | |
| Common Stock | 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
- F1Includes 173,635 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2On February 17, 2015, 37,994 already reported stock units, granted on February 14, 2011, were distributed to the reporting person. 20,630 were distributed to the reporting person as shares of the Corporation's common stock and 17,364 were withheld in payment of Federal, State and Medicare taxes.
- F3Reflects the transfer of 20,630 shares noted in note 2 into the reporting person's previously existing trust account.