SEC Form 4 · accession 0000073124-17-000184
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joyce St Clair
Officer — Executive Vice President
Period of report
Apr 28, 2017
Accepted (ET)
Apr 28, 2017 · 7:19 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 | Apr 28, 2017 | S | 17,406 | $90.46 | D | 16,609 | I | By Trust |
| Common Stock | Apr 28, 2017 | G | 193 | $0.00 | D | 16,416 | I | By Trust |
| Common StockF2 | holding | — | — | — | 29,855 | D | ||
| Common Stock | holding | — | — | — | 13,215 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 13,814 | I | 2016 GRAT | |
| Common Stock | holding | — | — | — | 5,106 | I | 401(k) as of 3-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $90.335 to $90.66. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.