SEC Form 4 · accession 0000073124-15-000147

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior VP & Controller

Period of report

Apr 30, 2015

Accepted (ET)

May 4, 2015 · 7:30 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 Stock^F1	Apr 30, 2015	M	2,368	$63.36	A	12,235	D
Common Stock^F1	Apr 30, 2015	M	2,106	$71.23	A	14,341	D
Common Stock^F1	Apr 30, 2015	M	2,275	$55.39	A	16,616	D
Common Stock^F1	Apr 30, 2015	M	3,678	$50.99	A	20,294	D
Common Stock^F1	Apr 30, 2015	M	3,562	$52.64	A	23,856	D
Common Stock^F1	Apr 30, 2015	M	61	$43.65	A	23,917	D
Common Stock^F1	Apr 30, 2015	M	673	$43.65	A	24,590	D
Common Stock^F1	Apr 30, 2015	S	14,723	$73.10	D	9,867	D
Common Stock	holding	—	—		—	111	I	Employee Share Ownership Plan as of 3/31/2015

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (UKU, right-to-buy)^F2	$63.36	Apr 30, 2015	M	2,368	D	—	Feb 20, 2017	Common Stock	2,368	0	D
Employee Stock Option (UKU, right-to-buy)^F3	$71.23	Apr 30, 2015	M	2,106	D	—	Feb 19, 2018	Common Stock	2,106	0	D
Employee Stock Option (UKU, right-to-buy)^F4	$55.39	Apr 30, 2015	M	2,275	D	—	Feb 16, 2019	Common Stock	2,275	0	D
Employee Stock Option (UKU, right-to-buy)^F5	$50.99	Apr 30, 2015	M	3,678	D	—	Feb 15, 2020	Common Stock	3,678	0	D
Employee Stock Option (UKU, right-to-buy)^F6	$52.64	Apr 30, 2015	M	3,562	D	—	Feb 14, 2021	Common Stock	3,562	0	D
Employee Stock Option (UKA, right-to-buy)^F7	$43.65	Apr 30, 2015	M	61	D	—	Feb 13, 2022	Common Stock	61	20	D
Employee Stock Option (UKU, right-to-buy)^F7	$43.65	Apr 30, 2015	M	673	D	—	Feb 13, 2022	Common Stock	673	224	D

F1Includes 6,483 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Share total also reflects the correction of an understatement of 560 shares in the reporting person's filings made on February 18 and 19, 2015.
F2This option became exercisable in equal four annual installments beginning 2/20/2008.
F3This option became exercisable in four equal annual installments beginning 2/19/2009.
F4This option became exercisable in four equal annual installments beginning 2/16/2010.
F5This option became exercisable in four equal annual installments beginning 2/15/2011.
F6This option becomes exercisable in four equal annual installments beginning 2/14/2012.
F7This option becomes exercisable in four equal annual installments beginning 2/13/2013.