SEC Form 4 · accession 0000073124-17-000257
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
Aug 17, 2017
Accepted (ET)
Aug 18, 2017 · 6:51 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 | Aug 17, 2017 | G | 517 | $0.00 | D | 15,506 | I | By Spouse |
| Common StockF1 | holding | — | — | — | 201,519 | D | ||
| Common StockF2 | holding | — | — | — | 68,570 | I | By Trust | |
| 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 | 2017-1 GRAT | |
| Common StockF2 | holding | — | — | — | 23,000 | I | 2017-2 GRAT | |
| Common Stock | holding | — | — | — | 34,580 | I | 401(k) as of 6-30-2017 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 201,399 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Reflects the August 17, 2017 transfer of 23,000 shares of the Corporation's common stock from the reporting person's existing trust into a newly created grantor retained annuity trust.