SEC Form 4 · accession 0000073124-19-000044
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilson Leech
Officer — EVP/Chief Risk Officer
Period of report
Jul 15, 2018
Accepted (ET)
Jan 24, 2019 · 12:02 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 | Jul 15, 2018 | F | 729 | $104.89 | D | 38,136 | D | |
| Common StockF3,F4 | Jul 21, 2018 | F | 1,055 | $109.36 | D | 37,081 | D | |
| Common StockF4 | Jan 22, 2019 | A | 1,954 | $0.00 | A | 39,035 | D | |
| Common StockF4 | Jan 22, 2019 | F | 919 | $90.42 | D | 38,116 | D | |
| Common Stock | holding | — | — | — | 437 | I | UK Employee Stock Ownership Plan as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 729 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,551 previously reported stock units. The remaining 822 shares were distributed to the reporting person as shares of common stock.
- F2Includes 15,751 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects 1,055 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,243 previously reported stock units. The remaining 1,188 shares were distributed to the reporting person as shares of common stock.
- F4Includes 13,508 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.