SEC Form 4 · accession 0000073124-18-000056
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Teresa Parker
Officer — Executive Vice President
Period of report
Jan 26, 2018
Accepted (ET)
Jan 30, 2018 · 6:00 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 | Jan 26, 2018 | S | 3,000 | $106.15 | D | 22,984 | D | |
| Common StockF2 | Jan 26, 2018 | M | 7,118 | $52.69 | A | 30,102 | D | |
| Common StockF3,F2 | Jan 26, 2018 | S | 7,118 | $106.19 | D | 22,984 | D | |
| Common Stock | holding | — | — | — | 9,231 | I | 401(k) as of 12-31-17 |
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 | Jan 26, 2018 | M | 7,118 | D | — | Feb 11, 2023 | Common Stock | 7,118 | 0 | D |
Explanation of responses
- F1Price reflects the weighted average sales price from $106.14 to $106.17. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Includes 7,672 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Price reflects the weighted average sales price from $106.16 to $106.24. 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.