SEC Form 4 · accession 0000073124-16-000504
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Cohodes
Officer — EVP/Chief Risk Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 10, 2016 · 6:38 pm EST
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,F2 | Nov 10, 2016 | S | 15,000 | $77.90 | D | 53,963 | D | |
| Common Stock | holding | — | — | — | 3,824 | I | 401(k) as of 9-30-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $77.79 to $77.99. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Includes 24,295 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.