SEC Form 4 · accession 0000073124-18-000299
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick H Waddell
Officer — Chairman · Director
Period of report
Nov 8, 2018
Accepted (ET)
Nov 9, 2018 · 6:21 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 | Nov 8, 2018 | G | 1,051 | $0.00 | D | 96,881 | I | By Trust |
| Common StockF3 | holding | — | — | — | 188,607 | D | ||
| Common Stock | holding | — | — | — | 21,775 | I | 2016-1 GRAT | |
| Common StockF2 | holding | — | — | — | 22,142 | I | 2016-2 GRAT | |
| Common Stock | holding | — | — | — | 26,974 | I | 2017-1 GRAT | |
| Common StockF1 | holding | — | — | — | 12,261 | I | 2017-2 GRAT | |
| Common Stock | holding | — | — | — | 48,090 | I | 2018 GRAT | |
| Common Stock | holding | — | — | — | 13,785 | I | By Spouse | |
| Common Stock | holding | — | — | — | 35,344 | I | 401(k) as of 9-30-2018 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the August 20, 2018 distribution of 5,078 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.
- F2Reflects the November 6, 2018 distribution of 6,945 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.
- F3Includes 188,487 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.