SEC Form 4 · accession 0000073124-19-000074
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Biff Bowman
Officer — EVP & Chief Financial Officer
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 5:39 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 | Feb 19, 2019 | F | 2,140 | $92.83 | D | 84,597 | D | |
| Common StockF3,F4 | Feb 19, 2019 | F | 1,578 | $92.83 | D | 83,019 | D | |
| Common StockF5 | Feb 19, 2019 | A | 8,694 | $0.00 | A | 91,713 | D | |
| Common Stock | holding | — | — | — | 553 | I | 401(k) as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 2,140 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 4,829 previously reported stock units. The remaining 2,689 shares were distributed to the reporting person as shares of common stock.
- F2Includes 20,639 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects 1,578 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,561 previously reported stock units. The remaining 1,983 shares were distributed to the reporting person as shares of common stock.
- F4Includes 17,078 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F5Includes 25,772 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.