SEC Form 4 · accession 0000073124-18-000063
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — Vice Chairman
Period of report
Jan 31, 2018
Accepted (ET)
Feb 1, 2018 · 6:55 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 31, 2018 | S | 3,552 | $105.55 | D | 0 | I | Spouse as Trustee for Daughter |
| Common StockF1 | Jan 31, 2018 | S | 3,551 | $105.55 | D | 0 | I | Spouse as Trustee for Son |
| Common StockF2 | holding | — | — | — | 42,669 | D | ||
| Common Stock | holding | — | — | — | 28,674 | I | By Trust | |
| Common Stock | holding | — | — | — | 30,000 | I | 2017 GRAT | |
| Common Stock | holding | — | — | — | 8,314 | I | 401(k) as of 12-31-2017 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflects the weighted average sales price from $105.49 to $105.65. 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.