SEC Form 4 · accession 0000073124-16-000437
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
Aug 23, 2016
Accepted (ET)
Aug 24, 2016 · 6:52 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 Stock | Aug 23, 2016 | S | 5,748 | $69.00 | D | 15,519 | I | By Trust |
| Common StockF2 | holding | — | — | — | 32,960 | D | ||
| Common Stock | holding | — | — | — | 13,215 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 16,840 | I | 2016 GRAT | |
| Common Stock | holding | — | — | — | 5,117 | I | 401(k) as of 6-30-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.