SEC Form 4 · accession 0000073124-18-000124
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Cohodes
Officer — Executive Vice President
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 5:05 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 20, 2018 | F | 1,302 | $105.15 | D | 30,048 | D | |
| Common StockF3 | Feb 20, 2018 | A | 5,415 | $0.00 | A | 35,463 | D | |
| Common Stock | holding | — | — | — | 3,810 | I | 401(k) as of 12-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 1,302 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,938 previously reported stock units. The remaining 1,636 shares were distributed to the reporting person as shares of common stock.
- F2Includes 15,069 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Includes 20,484 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.