SEC Form 4 · accession 0000073124-15-000214
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
Oct 26, 2015
Accepted (ET)
Oct 27, 2015 · 7:55 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 | Oct 26, 2015 | G | 2,194 | $0.00 | D | 69,870 | I | By Trust |
| Common StockF1 | 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 | — | — | — | 33,574 | I | 401(k) as of 9-30-2015 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 197,314 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.