SEC Form 4 · accession 0000073124-18-000321
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen N Potter
Officer — Vice Chairman
Period of report
Dec 13, 2018
Accepted (ET)
Dec 17, 2018 · 7:50 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 Stock | Dec 13, 2018 | S | 141 | $86.90 | D | 8,181 | I | 401(k) |
| Common StockF1 | Dec 13, 2018 | G | 11,394 | $0.00 | D | 46,072 | I | By Trust |
| Common StockF2 | holding | — | — | — | 24,014 | D | ||
| Common StockF1 | holding | — | — | — | 14,050 | I | 2017 GRAT |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the December 14, 2018 distribution of 15,950 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.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.