SEC Form 4 · accession 0000073124-16-000417
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman, President and CEO · Director
Period of report
Jul 27, 2016
Accepted (ET)
Jul 28, 2016 · 6:58 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 | Jul 27, 2016 | G | 3,205 | $0.00 | D | 107,124 | I | By Trust |
| Common StockF1 | Jul 28, 2016 | G | 755 | $0.00 | D | 106,369 | I | By Trust |
| Common StockF2 | holding | — | — | — | 212,559 | D | ||
| Common Stock | holding | — | — | — | 17,241 | I | 2014 GRAT | |
| Common StockF1 | holding | — | — | — | 39,690 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 34,188 | I | 2016 GRAT | |
| Common Stock | holding | — | — | — | 8,710 | I | By Spouse | |
| Common Stock | holding | — | — | — | 34,092 | I | 401(k) as of 6-30-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the May 2, 2016 distribution of 15,110 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.
- F2Includes 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.