SEC Form 4 · accession 0000073124-17-000319

NORTHERN TRUST CORP · NTRS

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

Reporting owner

Officer — COO

Period of report

Nov 30, 2017

Accepted (ET)

Dec 4, 2017 · 6:46 pm EST

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	Nov 30, 2017	M	2,600	$60.85	A	46,200	D
Common Stock^F3,F1	Nov 30, 2017	S	2,600	$99.02	D	43,600	D
Common Stock	Dec 4, 2017	M	15,889	$60.85	A	59,489	D
Common Stock^F4,F1	Dec 4, 2017	S	15,889	$99.23	D	43,600	D
Common Stock	holding	—	—		—	16,847	I	By Trust
Common Stock	holding	—	—		—	2,627	I	2015 GRAT
Common Stock	holding	—	—		—	12,612	I	2016 GRAT
Common Stock	holding	—	—		—	12,508	I	2017 GRAT
Common Stock	holding	—	—		—	10,022	I	401(k) as of 9-30-17

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	$60.85	Nov 30, 2017	M	2,600	D	—	Feb 10, 2024	Common Stock	2,600	22,051	D
Employee Stock Option (right-to-buy)^F5	$60.85	Dec 4, 2017	M	15,889	D	—	Feb 10, 2024	Common Stock	15,889	6,162	D

F1Includes 43,600 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 $99.04. 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 $99.55. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F5This option becomes exercisable in four equal annual installments beginning 2/10/2015.