SEC Form 4 · accession 0000073124-15-000192
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman and CEO · Director
Period of report
Sep 8, 2015
Accepted (ET)
Sep 9, 2015 · 5:20 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 | Sep 8, 2015 | S | 21,305 | $70.4393 | D | 72,064 | I | By Trust |
| Common StockF2 | holding | — | — | — | 197,434 | D | ||
| Common Stock | holding | — | — | — | 33,500 | I | 2013 GRAT | |
| Common Stock | holding | — | — | — | 15,169 | I | 2014 GRAT | |
| Common Stock | holding | — | — | — | 54,800 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 8,710 | I | By Spouse | |
| Common Stock | holding | — | — | — | 33,379 | I | 401(k) as of 6-30-2015 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $70.21 to $70.62. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Includes 197,314 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.