SEC Form 4 · accession 0000073124-19-000081

NORTHERN TRUST CORP · NTRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Feb 19, 2019

Accepted (ET)

Feb 21, 2019 · 5:43 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 Stock^F1,F2,F3	Feb 19, 2019	F	509	$92.83	D	28,300	D
Common Stock^F4,F5	Feb 19, 2019	F	422	$92.83	D	27,878	D
Common Stock^F6	Feb 19, 2019	A	14,920	$0.00	A	42,798	D
Common Stock^F7,F8	Feb 19, 2019	F	1,554	$92.83	D	41,424	D
Common Stock	holding	—	—		—	9,254	I	401(k) as of 12-31-18

No Table II lines on this filing.

F1Reflects 509 shares withheld in payment of taxes upon the vesting of 1,073 previously reported stock units. The remaining 564 shares were distributed to the reporting person as shares of common stock.
F2Includes 13,209 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F3Reflects a correction to the previously reported number of shares withheld in payment of taxes on January 22, 2019. On such date 2,366 shares were withheld in payment of taxes.
F4Reflects 422 shares withheld in payment of taxes upon the vesting of 890 previously reported stock units. The remaining 468 shares were distributed to the reporting person as shares of common stock.
F5Includes 12,319 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F6Includes 27,239 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F7Reflects 1,554 shares withheld in payment of taxes upon the vesting of 3,280 stock units. The remaining 1,726 shares will be distributed to the reporting person as shares of common stock.
F8Includes 23,959 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.