SEC Form 4 · accession 0000073124-17-000043
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman and CEO · Director
Period of report
Jan 23, 2017
Accepted (ET)
Jan 26, 2017 · 6:49 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 | Jan 23, 2017 | G | 1,300 | $0.00 | D | 103,404 | I | By Trust |
| Common Stock | Jan 24, 2017 | G | 10,028 | $0.00 | D | 93,376 | I | By Trust |
| Common Stock | Jan 26, 2017 | G | 36 | $0.00 | D | 93,340 | I | By Trust |
| Common StockF1 | holding | — | — | — | 212,559 | D | ||
| Common Stock | holding | — | — | — | 17,241 | I | 2014 GRAT | |
| Common Stock | holding | — | — | — | 39,690 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 34,188 | I | 2016-1 GRAT | |
| Common Stock | holding | — | — | — | 29,087 | I | 2016-2 GRAT | |
| Common Stock | holding | — | — | — | 8,710 | I | By Spouse | |
| Common Stock | holding | — | — | — | 34,319 | I | 401(k) as of 12-31-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 212,439 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.