SEC Form 4 · accession 0000073124-15-000154
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
May 4, 2015
Accepted (ET)
May 5, 2015 · 5:09 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 | May 4, 2015 | M | 1,152 | $52.095 | A | 17,099 | D | |
| Common StockF1 | May 4, 2015 | S | 1,152 | $74.5465 | D | 15,947 | D | |
| Common Stock | holding | — | — | — | 1,855 | I | UK Employee Share Ownership Plan as of 3/31/2015 |
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 (UKU, right-to-buy)F2 | $52.095 | May 4, 2015 | M | 1,152 | D | — | Feb 21, 2016 | Common Stock | 1,152 | 0 | D |
Explanation of responses
- F1Includes 9,495 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2This option became exercisable in four equal annual installments beginning 2/21/2007.