SEC Form 4 · accession 0000073124-15-000083
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 17, 2015
Accepted (ET)
Feb 19, 2015 · 7:17 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 | Feb 17, 2015 | A | 6,685 | $0.00 | A | 16,328 | D | |
| Common StockF2,F3 | Feb 17, 2015 | F | 381 | $70.03 | D | 15,947 | D | |
| Common Stock | holding | — | — | — | 1,809 | I | UK Employee Share Ownership Plan as of 12/31/2014 |
Table II — derivative securities
| 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 | $70.21 | Feb 17, 2015 | A | 19,585 | A | — | Feb 17, 2025 | Common Stock | 19,585 | 19,585 | D |
Explanation of responses
- F1Includes 9,876 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2On February 17, 2015, 809 stock units, granted on such date, vested. 381 were withheld in payment of Federal, State and Medicare taxes.
- F3Includes 9,495 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F4This option becomes exercisable in four equal annual installments beginning on February 17, 2016.