SEC Form 4 · accession 0000073124-19-000054
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
Aug 3, 2018
Accepted (ET)
Feb 13, 2019 · 8:12 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 | Aug 3, 2018 | G | 48 | $0.00 | D | 137,592 | I | By Trust |
| Common StockF2,F3 | holding | — | — | — | 188,065 | D | ||
| Common StockF2 | holding | — | — | — | 21,775 | I | 2016-1 GRAT | |
| Common StockF2,F4 | holding | — | — | — | 16,481 | I | 2016-2 GRAT | |
| Common StockF2 | holding | — | — | — | 26,974 | I | 2017-1 GRAT | |
| Common StockF2,F4 | holding | — | — | — | 17,922 | I | 2017-2 GRAT | |
| Common StockF2 | holding | — | — | — | 48,090 | I | 2018 GRAT | |
| Common StockF2 | holding | — | — | — | 13,785 | I | By Spouse | |
| Common StockF2 | 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
- F1Reflects a January 26, 2017 gift of 63 shares, which had been previously reported as a gift of 36 shares.
- F2Transactions not required to be reported pursuant to Section 16(a) of the Securities Exchange Act of 1934 following the reporting person's retirement as a director and executive officer of the issuer effective January 23, 2019 are not reflected on this Form 4.
- F3Includes 187,945 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F4Reflects the October 26, 2017 distribution of 5,661 shares from the reporting person's 2016-2 grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument, which had been previously reported as a distribution from the reporting person's 2017-2 GRAT.