SEC Form 4 · accession 0000073124-16-000372

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Global Fund Services

Period of report

Apr 21, 2016

Accepted (ET)

Apr 22, 2016 · 5:23 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
Common Stock^F1	Apr 21, 2016	M	12,638	$55.39	A	54,176	D
Common Stock^F1	Apr 21, 2016	M	11,768	$50.99	A	65,944	D
Common Stock^F1	Apr 21, 2016	M	11,399	$52.64	A	77,343	D
Common Stock^F1	Apr 21, 2016	M	11,455	$43.65	A	88,798	D
Common Stock^F2,F1	Apr 21, 2016	S	58,260	$71.7763	D	30,538	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Employee Stock Option (right-to-buy)^F3	$55.39	Apr 21, 2016	M	12,638	D	—	Feb 16, 2019	Common Stock	12,638	D
Employee Stock Option (right-to-buy)^F4	$50.99	Apr 21, 2016	M	11,768	D	—	Feb 15, 2020	Common Stock	11,768	D
Employee Stock Option (right-to-buy)^F5	$52.64	Apr 21, 2016	M	11,399	D	—	Feb 14, 2021	Common Stock	11,399	D
Employee Stock Option (right-to-buy)^F6	$43.65	Apr 21, 2016	M	11,455	D	—	Feb 13, 2022	Common Stock	11,455	D

F1Includes 16,547 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2Price reflects the weighted average sales price from $71.48 to $72.01. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F3This option became exercisable in four equal annual installments beginning 2/16/2010.
F4This option became exercisable in four equal annual installments beginning 2/15/2011.
F5This option became exercisable in four equal annual installments beginning 2/14/2012.
F6This option became exercisable in four equal annual installments beginning 2/13/2013.