SEC Form 4 · accession 0000073124-15-000134
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Byron Smith Jr.
Director
Period of report
Apr 21, 2015
Accepted (ET)
Apr 23, 2015 · 8:03 pm EDT
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 | Apr 21, 2015 | A | 1,530 | $0.00 | A | 1,530 | D | |
| Common StockF2 | holding | — | — | — | 3,549 | I | Revocable Trust | |
| Common StockF3 | holding | — | — | — | 17,394 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 1 | |
| Common StockF5 | holding | — | — | — | 2,125 | I | By Trust fbo Child 2 | |
| Common StockF6 | holding | — | — | — | 2,125 | I | By Trust fbo Child 3 | |
| Common StockF7 | holding | — | — | — | 1,704 | I | By Trust | |
| Common StockF8 | holding | — | — | — | 1,362,880 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2On April 21, 2015, 1,677 already reported and vested stock units, granted on April 15, 2014, were distributed to the reporting person. Shares reported herein reflect the transfer of such shares into the reporting person's previously existing trust account.
- F3Shares are held in a trust for the benefit of the reporting person and his spouse.
- F4Shares are held in a trust established for the benefit of one of the reporting person's minor children, of which the reporting person is a co-trustee.
- F5Shares are held in a trust established for the benefit of one of the reporting person's minor children, of which the reporting person is a co-trustee.
- F6Shares are held in a trust established for the benefit of one of the reporting person's minor children, of which the reporting person is a co-trustee.
- F7Shares are held in a trust established for the benefit of the reporting person's minor children, of which the reporting person is a co-trustee and shares investment control.
- F8These shares are held in a trust of which reporting person has a partial direct pecuniary interest.