SEC Form 4 · accession 0000073124-19-000104
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L Fradkin
Officer — President/Wealth Management
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 7:48 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 | Mar 1, 2019 | F | 774 | $93.49 | D | 45,131 | D | |
| Common StockF1 | holding | — | — | — | 132,365 | I | By Trust | |
| Common Stock | holding | — | — | — | 11,500 | I | 2018 GRAT | |
| Common Stock | holding | — | — | — | 1,762 | I | Spouse as trustee for Son | |
| Common Stock | holding | — | — | — | 1,762 | I | Spouse as trustee for Daughter | |
| Common Stock | holding | — | — | — | 10,121 | I | 401(k) as of 12-31-18 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 774 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,844 previously reported stock units. The remaining 1,070 shares were distributed to the reporting person as shares of common stock and transferred to the reporting person's existing trust account.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.