SEC Form 4 · accession 0000073124-18-000062
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilson Leech
Officer — EVP/Chief Risk Officer
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 6:54 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 | Jan 30, 2018 | M | 5,694 | $52.69 | A | 39,273 | D | |
| Common StockF1 | Jan 30, 2018 | M | 1,112 | $60.85 | A | 40,385 | D | |
| Common StockF2,F1 | Jan 30, 2018 | S | 6,806 | $106.27 | D | 33,579 | D | |
| Common StockF1 | Jan 31, 2018 | M | 668 | $60.85 | A | 34,247 | D | |
| Common StockF1 | Jan 31, 2018 | M | 1,484 | $70.21 | A | 35,731 | D | |
| Common StockF3,F1 | Jan 31, 2018 | S | 2,152 | $105.85 | D | 33,579 | D | |
| Common Stock | holding | — | — | — | 431 | I | UK Employee Stock Ownership Plan 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 30, 2018 | M | 5,694 | D | — | Feb 11, 2023 | Common Stock | 5,694 | 0 | D |
| Employee Stock Option (right-to-buy)F5 | $60.85 | Jan 30, 2018 | M | 1,112 | D | — | Feb 10, 2024 | Common Stock | 1,112 | 1,261 | D |
| Employee Stock Option (right-to-buy)F5 | $60.85 | Jan 31, 2018 | M | 668 | D | — | Feb 10, 2024 | Common Stock | 668 | 593 | D |
| Employee Stock Option (right-to-buy)F6 | $70.21 | Jan 31, 2018 | M | 1,484 | D | — | Feb 17, 2025 | Common Stock | 1,484 | 1,484 | D |
Explanation of responses
- F1Includes 12,461 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Price reflects the weighted average sales price from $106.00 to $106.56. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F3Price reflects the weighted average sales price from $105.43 to $106.13. 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.
- F5This option becomes exercisable in four equal annual installments beginning 2/10/2015.
- F6This option becomes exercisable in four equal annual installments beginning 2/17/2016.