SEC Form 4 · accession 0000073124-18-000253
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shundrawn A Thomas
Officer — President / Asset Management
Period of report
Jul 20, 2018
Accepted (ET)
Jul 24, 2018 · 5:12 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 | Jul 20, 2018 | M | 4,740 | $55.39 | A | 29,841 | D | |
| Common StockF1 | Jul 20, 2018 | S | 4,740 | $107.88 | D | 25,101 | D |
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)F2 | $55.39 | Jul 20, 2018 | M | 4,740 | D | — | Feb 16, 2019 | Common Stock | 4,740 | 0 | D |
Explanation of responses
- F1Includes 9,598 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2This option became exercisable in four equal annual installments beginning 2/16/2010.