SEC Form 4 · accession 0000073124-17-000102

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP/Chief Risk Officer

Period of report

Feb 21, 2017

Accepted (ET)

Feb 23, 2017 · 7:14 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^F1	Feb 21, 2017	A	7,134	$0.00	A	34,597	D
Common Stock^F2	Feb 21, 2017	F	1,342	$87.84	D	33,255	D
Common Stock^F2	Feb 23, 2017	M	6,318	$71.23	A	39,573	D
Common Stock^F2	Feb 23, 2017	M	4,296	$43.65	A	43,869	D
Common Stock^F3,F2	Feb 23, 2017	S	10,614	$87.34	D	33,255	D
Common Stock	holding	—	—		—	424	I	UK Employee Stock Ownership Plan as of 12-31-16

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right-to-buy)^F4	$71.23	Feb 23, 2017	M	6,318	D	—	Feb 19, 2018	Common Stock	6,318	0	D
Employee Stock Option (right-to-buy)^F5	$43.65	Feb 23, 2017	M	4,296	D	—	Feb 13, 2022	Common Stock	4,296	0	D

F1Includes 16,866 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2Includes 14,012 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F3Price reflects the weighted average sales price from $87.11 to $87.5273. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F4This option became exercisable in four equal annual installments beginning 2/19/2009.
F5This option became exercisable in four equal annual installments beginning 2/13/2013.