SEC Form 4 · accession 0000073124-16-000257
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
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 | 63,105 | $0.00 | A | 260,539 | D | |
| Common StockF1,F2 | Jan 19, 2016 | F | 26,625 | $64.43 | D | 197,434 | D | |
| Common StockF2 | holding | — | — | — | 105,794 | I | By Trust | |
| 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 | — | — | — | 33,692 | I | 401(k) as of 12-31-15 |
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.
- F2Reflects the transfer of 36,480 shares directly held by the reporting person into the reporting person's existing revocable trust account.