SEC Form 4 · accession 0000073124-18-000210
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aileen B Blake
Officer — EVP and Controller
Period of report
May 7, 2018
Accepted (ET)
May 8, 2018 · 6:39 pm EDT
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 | May 7, 2018 | S | 1,000 | $105.49 | D | 12,585 | I | By Trust |
| Common StockF2 | May 7, 2018 | M | 6,163 | $60.85 | A | 18,501 | D | |
| Common StockF3,F2 | May 7, 2018 | S | 6,163 | $105.10 | D | 12,338 | D | |
| Common Stock | May 8, 2018 | G | 925 | $0.00 | D | 11,660 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right-to-buy)F4 | $60.85 | May 7, 2018 | M | 6,163 | D | Feb 10, 2015 | Feb 10, 2024 | Common Stock | 6,163 | 0 | D |
Explanation of responses
- F1Price reflects the weighted average sales price from $105.49 to $105.52. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F2Includes 12,338 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Price reflects the weighted average sales price from $105.05 to $105.18. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- F4This option became exercisable in four equal annual installments beginning 2/10/2015.