SEC Form 4 · accession 0000073124-19-000043
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L Fradkin
Officer — President/Wealth Management
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 12:01 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 | Jan 22, 2019 | A | 21,979 | $0.00 | A | 67,333 | D | |
| Common StockF1,F2 | Jan 22, 2019 | F | 8,134 | $90.42 | D | 45,354 | D | |
| Common StockF2,F3 | holding | — | — | — | 126,623 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 11,500 | I | 2018 GRAT | |
| Common Stock | holding | — | — | — | 1,762 | I | Spouse as trustee for Son | |
| Common Stock | holding | — | — | — | 1,762 | I | Spouse as trustee for Daughter | |
| Common Stock | holding | — | — | — | 10,121 | I | 401(k) as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 45,354 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Reflects the transfer of 13,845 shares directly held by the reporting person into the reporting person's existing trust account.
- F3Reflects the December 13, 2018 transfer of 11,500 shares of the Corporation's common stock into a newly created grantor retained annuity trust.