SEC Form 4 · accession 0001124194-18-000004
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Crown
Director
Period of report
Apr 17, 2018
Accepted (ET)
Apr 19, 2018 · 2:00 pm EDT
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 UnitsF1 | Apr 17, 2018 | A | 1,033 | $0.00 | A | 22,391 | D | |
| Common Stock | holding | — | — | — | 18,400 | D | ||
| Common StockF2 | holding | — | — | — | 4,000 | I | See ftn. | |
| Common StockF3 | holding | — | — | — | 339,696 | I | See ftn. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents common stock units payable automatically on a one-for-one basis in shares of the Issuer's stock.
- F2Owned by various trusts of which the children of the Reporting Person are the beneficiaries.
- F3Owned by a limited liability company, HCNI II LLC, of which trusts for the benefit of the Reporting Person and the children of the Reporting Person are members.
Remarks
The Reporting Person disclaims beneficial ownership of the shares described in Footnotes 2 and 3, except to the extent of her beneficial ownership in the trusts and entity that own such shares.