SEC Form 4 · accession 0000073124-17-000200
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman and CEO · Director
Period of report
May 8, 2017
Accepted (ET)
May 9, 2017 · 6:53 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 | May 8, 2017 | G | 11,040 | $0.00 | D | 92,540 | I | By Trust |
| Common StockF1 | May 9, 2017 | G | 1,962 | $0.00 | D | 17,788 | I | By Spouse |
| Common StockF2 | holding | — | — | — | 201,519 | D | ||
| Common Stock | holding | — | — | — | 25,014 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 28,124 | I | 2016-1 GRAT | |
| Common Stock | holding | — | — | — | 29,087 | I | 2016-2 GRAT | |
| Common Stock | holding | — | — | — | 35,160 | I | 2017 GRAT | |
| Common Stock | holding | — | — | — | 34,471 | I | 401(k) as of 3-31-2017 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects gift of 11,040 shares from the reporting person to the reporting person's spouse on May 8, 2017.
- F2Includes 201,399 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.