SEC Form 4 · accession 0000073124-16-000542
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
Dec 9, 2016
Accepted (ET)
Dec 12, 2016 · 5:38 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 | Dec 9, 2016 | S | 7,500 | $89.38 | D | 15,715 | D | |
| Common Stock | holding | — | — | — | 1,909 | I | UK Employee Share Ownership Plan as of 9/30/2016 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $89.00 to $89.50. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Includes 15,603 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.