SEC Form 4 · accession 0000073124-17-000064
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
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 9:42 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 | 339 | $85.655 | D | 15,376 | D | |
| Common StockF3,F4 | Feb 11, 2017 | F | 265 | $86.305 | D | 15,111 | D | |
| Common Stock | holding | — | — | — | 1,915 | I | UK Employee Share Ownership Plan as of 12/31/2016 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 10, 2017, 720 already reported stock units, granted on February 10, 2014, vested. Of this amount, 339 were withheld in payment of Federal, State and Medicare taxes.
- F2Includes 14,883 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3On February 11, 2017, 562 already reported stock units, granted on February 11, 2013, vested. Of this amount, 265 were withheld in payment of Federal, State and Medicare taxes.
- F4Includes 14,321 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.