SEC Form 4 · accession 0000073124-19-000078
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
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 5:42 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 | 203 | $92.83 | D | 37,913 | D | |
| Common StockF3,F4 | Feb 19, 2019 | F | 210 | $92.83 | D | 37,703 | D | |
| Common StockF5 | Feb 19, 2019 | A | 7,245 | $0.00 | A | 44,948 | 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 203 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 430 previously reported stock units. The remaining 227 shares will be distributed to the reporting person as shares of common stock.
- F2Includes 13,078 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects 210 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 445 previously reported stock units. The remaining 235 shares will be distributed to the reporting person as shares of common stock.
- F4Includes 12,633 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F5Includes 19,878 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.