SEC Form 4 · accession 0000073124-17-000058
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William L Morrison
Officer — Vice Chairman
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 9:38 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 | Feb 10, 2017 | F | 2,802 | $85.655 | D | 137,073 | D | |
| Common StockF3,F4 | Feb 11, 2017 | F | 3,334 | $86.305 | D | 133,739 | D | |
| Common Stock | holding | — | — | — | 1,200 | I | By Spouse | |
| Common Stock | holding | — | — | — | 350 | I | By Children | |
| Common Stock | holding | — | — | — | 2,549 | I | 401(k) as of 12-31-16 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 10, 2017, 6,667 already reported stock units, granted on February 10, 2014, vested. Of this amount, 2,802 were withheld in payment of Federal, State and Medicare taxes and the remaining 3,875 were distributed to the reporting person as shares of common stock.
- F2Includes 80,675 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3On February 11, 2017, 7,947 already reported stock units, granted on February 11, 2013, vested. Of this amount, 3,334 were withheld in payment of Federal, State and Medicare taxes and the remaining 4,613 were distributed to the reporting person as shares of common stock.
- F4Includes 72,728 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.