SEC Form 4 · accession 0000073124-19-000079
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Cohen Levy
Officer — EVP, Gen Counsel & Corp Sec
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 | 1,712 | $92.83 | D | 47,003 | D | |
| Common StockF3,F4 | Feb 19, 2019 | F | 1,302 | $92.83 | D | 45,701 | D | |
| Common StockF5 | Feb 19, 2019 | A | 7,113 | $0.00 | A | 52,814 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 1,712 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 3,863 previously reported stock units. The remaining 2,151 shares were distributed to the reporting person as shares of common stock.
- F2Includes 16,665 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects 1,302 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,938 previously reported stock units. The remaining 1,636 shares were distributed to the reporting person as shares of common stock.
- F4Includes 13,727 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F5Includes 20,840 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.