SEC Form 4 · accession 0000073124-19-000084
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shundrawn A Thomas
Officer — President / Asset Management
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 5:45 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 | 318 | $92.83 | D | 28,213 | D | |
| Common StockF3,F4 | Feb 19, 2019 | F | 209 | $92.83 | D | 28,004 | D | |
| Common StockF5 | Feb 19, 2019 | A | 7,113 | $0.00 | A | 35,117 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 318 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,084 previously reported stock units. The remaining 766 shares were distributed to the reporting person as shares of common stock.
- F2Includes 8,514 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Reflects 209 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 712 previously reported stock units. The remaining 503 shares were distributed to the reporting person as shares of common stock.
- F4Includes 7,802 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F5Includes 14,915 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.