SEC Form 4 · accession 0000073124-18-000064
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman · Director
Period of report
Feb 1, 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 Stock | Feb 1, 2018 | G | 5,728 | $0.00 | D | 95,379 | I | By Trust |
| Common StockF1 | holding | — | — | — | 200,739 | D | ||
| Common Stock | holding | — | — | — | 25,014 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 28,124 | I | 2016-1 GRAT | |
| Common Stock | holding | — | — | — | 29,087 | I | 2016-2 GRAT | |
| Common Stock | holding | — | — | — | 35,160 | I | 2017-1 GRAT | |
| Common Stock | holding | — | — | — | 17,339 | I | 2017-2 GRAT | |
| Common Stock | holding | — | — | — | 13,785 | I | By Spouse | |
| Common Stock | holding | — | — | — | 34,880 | I | 401(k) as of 12-31-2017 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 200,619 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.