SEC Form 4 · accession 0000073124-16-000376
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
Apr 27, 2016
Accepted (ET)
Apr 27, 2016 · 6:41 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 27, 2016 | G | 239 | $0.00 | D | 16,063 | I | By Trust |
| Common StockF2 | holding | — | — | — | 32,960 | D | ||
| Common StockF1 | holding | — | — | — | 16,840 | I | 2016 GRAT | |
| Common Stock | holding | — | — | — | 19,198 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 5,117 | I | 401(k) as of 3-31-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the February 23, 2016 transfer of 16,840 shares of the Corporation's common stock from the reporting person's existing trust into a newly created grantor retained annuity trust.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.