SEC Form 4 · accession 0000073124-17-000213
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
Jun 1, 2017
Accepted (ET)
Jun 2, 2017 · 6:08 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 | Jun 1, 2017 | G | 2,585 | $0.00 | A | 1,214 | D | |
| Common StockF2 | holding | — | — | — | 9,195 | 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 June 1, 2017, the reporting person received a gift of 2,585 shares of the Corporation's common stock. Shares reported herein reflect the transfer of such shares into the reporting person's previously existing revocable 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.