SEC Form 4 · accession 0000073124-19-000050
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
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 12:06 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 | 70,332 | $0.00 | A | 258,397 | D | |
| Common StockF1,F2 | Jan 22, 2019 | F | 29,546 | $90.42 | D | 188,065 | D | |
| Common StockF2 | holding | — | — | — | 137,667 | I | By Trust | |
| Common Stock | holding | — | — | — | 21,775 | I | 2016-1 GRAT | |
| Common Stock | holding | — | — | — | 22,142 | I | 2016-2 GRAT | |
| Common Stock | holding | — | — | — | 26,974 | I | 2017-1 GRAT | |
| Common Stock | 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 | — | — | — | 35,669 | I | 401(k) as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 187,945 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F2Reflects the transfer of 40,786 shares directly held by the reporting person into the reporting person's existing trust account.