SEC Form 4 · accession 0000073124-16-000318
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joyce St Clair
Officer — Executive Vice President
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 8:16 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 | Feb 16, 2016 | A | 12,876 | $0.00 | A | 32,960 | D | |
| Common Stock | holding | — | — | — | 33,142 | I | By Trust | |
| Common Stock | holding | — | — | — | 19,198 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 5,108 | I | 401(k) as of 12-31-15 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right-to-buy)F2 | $58.25 | Feb 16, 2016 | A | 30,657 | A | — | Feb 16, 2026 | Common Stock | 30,657 | 30,657 | D |
Explanation of responses
- F1Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2This option becomes exercisable in four equal annual installments beginning 2/16/2017.