SEC Form 4 · accession 0000073124-18-000134
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joyce St Clair
Officer — Executive Vice President
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 5:08 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 | 1,578 | $105.15 | D | 21,942 | D | |
| Common StockF2 | Feb 20, 2018 | A | 6,769 | $0.00 | A | 28,711 | D | |
| Common StockF1 | holding | — | — | — | 36,025 | I | By Trust | |
| Common Stock | holding | — | — | — | 7,692 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 5,098 | I | 401(k) as of 12-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 1,578 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,561 previously reported stock units. The remaining 1,983 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.