SEC Form 4 · accession 0000073124-18-000045
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jana R Schreuder
Officer — COO
Period of report
Dec 15, 2017
Accepted (ET)
Jan 25, 2018 · 6:05 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 StockF1,F2 | Dec 15, 2017 | F | 352 | $97.29 | D | 43,248 | D | |
| Common StockF2 | Jan 23, 2018 | A | 19,887 | $106.71 | A | 63,135 | D | |
| Common StockF2,F3 | Jan 23, 2018 | F | 7,728 | $106.71 | D | 43,248 | D | |
| Common StockF3 | holding | — | — | — | 29,006 | 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 | — | — | — | 10,016 | I | 401(k) as of 12-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld to satisfy tax withholding obligations related to previously reported stock units.
- F2Includes 43,248 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects the transfer of 12,159 shares directly held by the reporting person into the reporting person's existing trust account.