SEC Form 4 · accession 0000073124-16-000254
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — President / Asset Management
Period of report
Jan 19, 2016
Accepted (ET)
Jan 21, 2016 · 5:11 pm EST
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 | Jan 19, 2016 | A | 18,979 | $0.00 | A | 60,085 | D | |
| Common StockF1,F2 | Jan 19, 2016 | F | 6,474 | $64.43 | D | 41,106 | D | |
| Common StockF2,F3 | holding | — | — | — | 22,792 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 30,000 | I | GRAT | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Son | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Daughter | |
| Common Stock | holding | — | — | — | 8,332 | I | 401(k) as of 12-31-2015 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 41,106 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Reflects the transfer of 12,505 shares directly held by the reporting person to the reporting person's existing trust account.
- F3Reflects the October 26, 2015 transfer of 30,000 shares of the Corporation's common stock from the reporting person's trust into a newly created grantor retained annuity trust.