SEC Form 4 · accession 0000073124-17-000174
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Byron Smith Jr.
Director
Period of report
Apr 25, 2017
Accepted (ET)
Apr 27, 2017 · 7:26 pm EDT
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 | Apr 25, 2017 | A | 1,214 | $0.00 | A | 1,214 | D | |
| Common StockF2 | holding | — | — | — | 6,610 | I | Revocable Trust | |
| Common StockF3 | holding | — | — | — | 17,394 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 1 | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 2 | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 3 | |
| Common StockF5 | holding | — | — | — | 1,704 | I | By Trust | |
| Common StockF6 | holding | — | — | — | 1,362,880 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2On April 25, 2017, 1,531 already reported and vested stock units, granted on April 19, 2016, were distributed to the reporting person. Shares reported herein reflect the transfer of such shares into the reporting person's previously existing trust account.
- F3Shares are held in a trust for the benefit of the reporting person and his spouse, of which the reporting person is a co-trustee and shares investment control.
- F4Shares are held in a trust established for the benefit of one of the reporting person's minor children, of which the reporting person is a co-trustee and shares investment control.
- F5Shares are held in a trust established for the benefit of the reporting person and his minor children, of which the reporting person is a co-trustee and shares investment control.
- F6These shares are held in a trust of which reporting person has a partial direct pecuniary interest.