SEC Form 4 · accession 0000073124-17-000259
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joyce St Clair
Officer — Executive Vice President
Period of report
Aug 23, 2017
Accepted (ET)
Aug 23, 2017 · 5:58 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 23, 2017 | S | 13,814 | $89.32 | D | 0 | I | 2016 GRAT |
| Common StockF2 | holding | — | — | — | 29,855 | D | ||
| Common StockF3 | holding | — | — | — | 21,939 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 7,692 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 5,099 | I | 401(k) as of 6-30-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $89.31 to $89.32. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects the August 17, 2017 distribution of 5,523 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.