SEC Form 4 · accession 0000073124-17-000236

NORTHERN TRUST CORP · NTRS

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

Reporting owner

Officer — President / Asset Management

Period of report

Jul 3, 2017

Accepted (ET)

Jul 6, 2017 · 6:54 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 Stock^F1	Jul 3, 2017	M	16,895	$52.69	A	59,808	D
Common Stock^F3,F1	Jul 3, 2017	S	16,895	$99.09	D	42,913	D
Common Stock^F1	Jul 5, 2017	M	11,574	$52.69	A	54,487	D
Common Stock^F4,F1	Jul 5, 2017	S	11,574	$99.07	D	42,913	D
Common Stock	holding	—	—		—	50,671	I	By Trust
Common Stock	holding	—	—		—	15,845	I	GRAT
Common Stock	holding	—	—		—	1,270	I	Spouse as Trustee for Daughter
Common Stock	holding	—	—		—	1,270	I	Spouse as Trustee for Son
Common Stock	holding	—	—		—	8,316	I	401(k) as of 6-30-2017

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right-to-buy)^F5	$52.69	Jul 3, 2017	M	16,895	D	—	Feb 11, 2023	Common Stock	16,895	11,574	D
Employee Stock Option (right-to-buy)^F5	$52.69	Jul 5, 2017	M	11,574	D	—	Feb 11, 2023	Common Stock	11,574	0	D

F1Includes 42,913 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
F3Price reflects the weighted average sales price from $99.00 to $99.29. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F4Price reflects the weighted average sales price from $99.00 to $99.21. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F5This option became exercisable in four equal annual installments beginning 2/11/2014.