SEC Form 4 · accession 0000073124-16-000536
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — President / Asset Management
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 4:56 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 | Dec 2, 2016 | G | 2,360 | $0.00 | D | 20,608 | I | By Trust |
| Common StockF1 | holding | — | — | — | 46,018 | D | ||
| Common Stock | holding | — | — | — | 30,000 | I | GRAT | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Son | |
| Common Stock | holding | — | — | — | 1,270 | I | Spouse as Trustee for Daughter | |
| Common Stock | holding | — | — | — | 8,346 | I | 401(k) as of 9-30-2016 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.