SEC Form 4 · accession 0000073124-18-000066

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Feb 12, 2018

Accepted (ET)

Feb 12, 2018 · 6:56 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 12, 2018	M	5,084	$60.85	A	37,936	D
Common Stock	Feb 12, 2018	M	6,898	$58.25	A	44,834	D
Common Stock^F1	Feb 12, 2018	S	6,200	$98.33	D	38,634	D
Common Stock^F2	Feb 12, 2018	S	5,282	$99.12	D	33,352	D
Common Stock^F3	Feb 12, 2018	S	500	$100.00	D	32,852	D
Common Stock	holding	—	—		—	3,810	I	401(k) as of 12-31-17

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	$60.85	Feb 12, 2018	M	5,084	D	—	Feb 10, 2024	Common Stock	5,084	0	D
Employee Stock Option (right-to-buy)^F5	$58.25	Feb 12, 2018	M	6,898	D	—	Feb 16, 2026	Common Stock	6,898	20,693	D

F1Price reflects the weighted average sales price from $97.81 to $98.80. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F2Price reflects the weighted average sales price from $98.83 to $99.76. 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 $99.87 to $100.15. 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 2/10/2015.
F5This option becomes exercisable in four equal annual installments beginning 2/16/2017.