SEC Form 4 · accession 0000073124-16-000489
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Gillian Pembleton
Officer — EVP, Human Resources
Period of report
Nov 2, 2016
Accepted (ET)
Nov 4, 2016 · 6:33 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 | Nov 2, 2016 | M | 2,143 | $71.23 | A | 25,358 | D | |
| Common StockF1 | Nov 2, 2016 | M | 2,709 | $55.39 | A | 28,067 | D | |
| Common StockF1 | Nov 2, 2016 | M | 5,216 | $50.99 | A | 33,283 | D | |
| Common StockF1 | Nov 2, 2016 | M | 4,275 | $52.64 | A | 37,558 | D | |
| Common StockF1 | Nov 2, 2016 | M | 1,231 | $43.65 | A | 38,789 | D | |
| Common StockF2,F1 | Nov 2, 2016 | S | 15,574 | $72.04 | D | 23,215 | D | |
| Common Stock | holding | — | — | — | 1,909 | I | UK Employee Share Ownership Plan as of 9/30/2016 |
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)F3 | $71.23 | Nov 2, 2016 | M | 2,143 | D | — | Feb 19, 2018 | Common Stock | 2,143 | 0 | D |
| Employee Stock Option (right-to-buy)F4 | $55.39 | Nov 2, 2016 | M | 2,709 | D | — | Feb 16, 2019 | Common Stock | 2,709 | 0 | D |
| Employee Stock Option (right-to-buy)F5 | $50.99 | Nov 2, 2016 | M | 5,216 | D | — | Feb 15, 2020 | Common Stock | 5,216 | 0 | D |
| Employee Stock Option (right-to-buy)F6 | $52.64 | Nov 2, 2016 | M | 4,275 | D | — | Feb 14, 2021 | Common Stock | 4,275 | 0 | D |
| Employee Stock Option (right-to-buy)F7 | $43.65 | Nov 2, 2016 | M | 1,231 | D | — | Feb 13, 2022 | Common Stock | 1,231 | 0 | D |
Explanation of responses
- F1Includes 16,118 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 $71.65 to $72.22. 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 2/19/2009.
- F4This option became exercisable in four equal annual installments beginning 2/16/2010.
- F5This option became exercisable in four equal annual installments beginning 2/15/2011.
- F6This option became exercisable in four equal annual installments beginning 2/14/2012.
- F7This option became exercisable in four equal annual installments beginning 2/13/2013.