SEC Form 4 · accession 0000073124-17-000255
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aileen B Blake
Officer — EVP and Controller
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 6:26 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 | Aug 14, 2017 | M | 6,762 | $52.69 | A | 16,720 | D | |
| Common StockF2,F1 | Aug 14, 2017 | S | 6,762 | $88.45 | D | 9,958 | D | |
| Common StockF3 | Aug 14, 2017 | S | 1,000 | $88.44 | D | 16,172 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right-to-buy)F4 | $52.69 | Aug 14, 2017 | M | 6,762 | D | — | Feb 11, 2023 | Common Stock | 6,762 | 0 | D |
Explanation of responses
- F1Includes 9,958 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Price reflects the weighted average sales price from $88.37 to $88.60. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F3Price reflects the weighted average sales price from $88.43 to $88.46. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F4This option became exercisable in four equal annual installments beginning 2/11/2014.