SEC Form 4 · accession 0000073124-18-000149
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jana R Schreuder
Officer — COO
Period of report
Mar 1, 2018
Accepted (ET)
Mar 2, 2018 · 6:25 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 StockF2,F3 | Mar 1, 2018 | S | 3,730 | $105.14 | D | 21,733 | I | By Trust |
| Common StockF4 | holding | — | — | — | 44,716 | D | ||
| Common Stock | holding | — | — | — | 2,627 | I | 2015 GRAT | |
| Common Stock | holding | — | — | — | 12,612 | I | 2016 GRAT | |
| Common Stock | holding | — | — | — | 9,882 | I | 2017 GRAT | |
| Common StockF3 | holding | — | — | — | 10,000 | I | 2018 GRAT | |
| Common Stock | holding | — | — | — | 10,016 | I | 401(k) as of 12-31-17 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
- F2Price reflects the weighted average sales price from $105.00 to $105.33. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F3Reflects the March 1, 2018 transfer of 10,000 shares of the Corporation's common stock from the reporting person's existing trust into a newly created grantor retained annuity trust.
- F4Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.