SEC Form 4 · accession 0000073124-15-000084
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — President / Asset Management
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 | 7,122 | $0.00 | A | 41,106 | D | |
| Common Stock | holding | — | — | — | 40,287 | I | By Trust | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Son | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Daughter | |
| Common Stock | holding | — | — | — | 8,338 | I | 401(k) 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)F2 | $70.21 | Feb 17, 2015 | A | 23,739 | A | — | Feb 17, 2025 | Common Stock | 23,739 | 23,739 | D |
Explanation of responses
- F1Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2This option becomes exercisable in four equal annual installments beginning on February 17, 2016.