SEC Form 4 · accession 0000073124-16-000255
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jana R Schreuder
Officer — COO
Period of report
Jan 19, 2016
Accepted (ET)
Jan 21, 2016 · 5:12 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 | 54,998 | D | |
| Common StockF1,F2 | Jan 19, 2016 | F | 6,471 | $64.43 | D | 36,019 | D | |
| Common StockF2,F3 | holding | — | — | — | 39,879 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 9,213 | I | 2012 GRAT | |
| Common Stock | holding | — | — | — | 5,757 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 10,042 | I | 401(k) as of 12-31-15 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 36,019 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Reflects the transfer of 12,508 shares directly held by the reporting person to the reporting person's existing trust account.
- F3Reflects the August 3, 2015 distribution of 1,333 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.