SEC Form 4 · accession 0000073124-16-000522

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Nov 16, 2016

Accepted (ET)

Nov 16, 2016 · 6:37 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 Stock^F1	Nov 16, 2016	M	14,444	$55.39	A	77,801	D
Common Stock^F1	Nov 16, 2016	M	11,455	$43.65	A	89,256	D
Common Stock^F2,F1	Nov 16, 2016	S	4,694	$80.86	D	84,562	D
Common Stock^F3,F1	Nov 16, 2016	S	21,205	$81.35	D	63,357	D
Common Stock	holding	—	—		—	553	I	401(k) as of 9-30-16

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right-to-buy)^F4	$55.39	Nov 16, 2016	M	14,444	D	—	Feb 16, 2019	Common Stock	14,444	0	D
Employee Stock Option (right-to-buy)^F5	$43.65	Nov 16, 2016	M	11,455	D	—	Feb 13, 2022	Common Stock	11,455	0	D

F1Includes 27,117 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 $80.64 to $80.99. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F3Price reflects the weighted average sales price from $81.00 to $81.87. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F4This option became exercisable in four equal annual installments beginning 2/16/2010.
F5This option becomes exercisable in four equal annual installments beginning 2/13/2013.