SEC Form 4 · accession 0000073124-18-000255
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
Jul 24, 2018
Accepted (ET)
Jul 26, 2018 · 7:01 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 StockF2 | Jul 24, 2018 | S | 3,166 | $112.00 | D | 33,147 | I | By Trust |
| Common StockF2 | Jul 25, 2018 | G | 2,289 | $0.00 | D | 0 | I | 2015 GRAT |
| Common StockF3 | holding | — | — | — | 28,711 | D | ||
| Common Stock | holding | — | — | — | 5,097 | I | 401(k) as of 6-30-18 |
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.
- F2On July 25, 2018, the reporting person's grantor retained annuity trust ("GRAT") distributed 5,403 shares of the Corporation's common stock to the reporting person's existing revocable trust as an annuity payment. On such date 2,289 shares also were distributed to the remaindermen of the GRAT. Each distribution was made in accordance with the terms of the GRAT instrument.
- F3Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.