SEC Form 4 · accession 0000073124-18-000130
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Teresa Parker
Officer — Executive Vice President
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 5:07 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 | 422 | $105.15 | D | 22,112 | D | |
| Common StockF3 | Feb 20, 2018 | A | 11,248 | $0.00 | A | 33,360 | D | |
| Common StockF4,F5 | Feb 20, 2018 | F | 1,131 | $105.15 | D | 32,229 | D | |
| Common Stock | holding | — | — | — | 9,231 | I | 401(k) as of 12-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 422 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 891 previously reported stock units. The remaining 469 shares were distributed to the reporting person as shares of common stock.
- F2Includes 5,754 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Includes 17,002 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F4Reflects 1,131 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,388 stock units. The remaining 1,257 shares were distributed to the reporting person as shares of common stock.
- F5Includes 14,614 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.