SEC Form 4 · accession 0001478669-26-000015
NORTHERN TRUST CORP · NTRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Byron Smith Jr.
Director
Period of report
Jul 31, 2026
Accepted (ET)
Aug 4, 2026 · 6:35 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000073124
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 31, 2026 | G | 1,120 | $0.00 | A | 87,157 | I | By Revocable Trust |
| Common StockF2 | holding | — | — | — | 989 | D | ||
| Common StockF3 | holding | — | — | — | 1,704 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 1 | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 2 | |
| Common StockF4 | holding | — | — | — | 2,125 | I | By Trust fbo Child 3 | |
| Common StockF1,F5 | holding | — | — | — | 983,600 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 31, 2026, a trust in which the reporting person has a partial direct pecuniary interest distributed 8,960 shares of the Corporation's common stock to such trust's beneficiaries, of which 1,120 shares were distributed to the reporting person.
- F2Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- F3Shares are held in a trust established for the benefit of the reporting person and his children, of which the reporting person is a co-trustee and shares investment control.
- F4Shares are held in a trust established for the benefit of one of the reporting person's children, of which the reporting person is a co-trustee and shares investment control.
- F5These shares are held in a trust of which reporting person has a partial direct pecuniary interest.