SEC Form 4 · accession 0000073124-19-000082
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A South
Officer — Executive Vice President
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 5:44 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,F3 | Feb 19, 2019 | F | 789 | $92.83 | D | 14,482 | D | |
| Common StockF4,F5 | Feb 19, 2019 | F | 470 | $92.83 | D | 14,012 | D | |
| Common StockF6 | Feb 19, 2019 | A | 3,388 | $0.00 | A | 17,400 | D | |
| Common Stock | holding | — | — | — | 2,109 | I | 401(k) as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 789 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,576 previously reported stock units. The remaining 1,787 shares were distributed to the reporting person as shares of common stock.
- F2Includes 11,927 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 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F4Reflects 470 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,602 previously reported stock units. The remaining 1,132 shares were distributed to the reporting person as shares of common stock.
- F5Includes 10,325 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F6Includes 13,713 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.