SEC Form 4 · accession 0000073124-18-000098
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 12, 2018
Accepted (ET)
Feb 14, 2018 · 6:34 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 | Feb 12, 2018 | F | 6,052 | $98.88 | D | 187,078 | D | |
| Common StockF1 | holding | — | — | — | 102,988 | I | By Trust | |
| 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
- F1Reflects 6,052 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 13,661 previously reported stock units. The remaining 7,609 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.
- F2Includes 186,958 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.