0000073124-17-000318.txt : 20171130
0000073124-17-000318.hdr.sgml : 20171130
20171130190718
ACCESSION NUMBER: 0000073124-17-000318
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171129
FILED AS OF DATE: 20171130
DATE AS OF CHANGE: 20171130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WADDELL FREDERICK H
CENTRAL INDEX KEY: 0001223690
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36609
FILM NUMBER: 171232355
MAIL ADDRESS:
STREET 1: 50 S. LA SALLE ST.
CITY: CHICAGO
STATE: IL
ZIP: 60675
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NORTHERN TRUST CORP
CENTRAL INDEX KEY: 0000073124
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 362723087
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 50 S LASALLE ST
CITY: CHICAGO
STATE: IL
ZIP: 60603
BUSINESS PHONE: 3126306000
MAIL ADDRESS:
STREET 1: 50 S LASALLE ST
CITY: CHICAGO
STATE: IL
ZIP: 60603
FORMER COMPANY:
FORMER CONFORMED NAME: NORTRUST CORP
DATE OF NAME CHANGE: 19780525
4
1
wf-form4_151208682483623.xml
FORM 4
X0306
4
2017-11-29
0
0000073124
NORTHERN TRUST CORP
NTRS
0001223690
WADDELL FREDERICK H
50 SOUTH LASALLE STREET
CHICAGO
IL
60603
1
1
0
0
Chairman and CEO
Common Stock
2017-11-29
4
M
0
44658
52.69
A
246177
D
Common Stock
2017-11-29
4
S
0
33080
97.73
D
213097
D
Common Stock
2017-11-29
4
S
0
11578
98.58
D
201519
D
Common Stock
71900
I
By Trust
Common Stock
25014
I
2015 GRAT
Common Stock
28124
I
2016-1 GRAT
Common Stock
29087
I
2016-2 GRAT
Common Stock
35160
I
2017-1 GRAT
Common Stock
17339
I
2017-2 GRAT
Common Stock
13785
I
By Spouse
Common Stock
34759.72
I
401(k) as of 9-30-2017
Employee Stock Option (right-to-buy)
52.69
2017-11-29
4
M
0
44658
0
D
2023-02-11
Common Stock
44658.0
0
D
Includes 201,399 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
Price reflects the weighted average sales price from $97.17 to $98.16. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
Price reflects the weighted average sales price from $98.17 to $98.96. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
Reflects the October 26, 2017 distribution of 5,661 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the GRAT instrument.
This option became exercisable in four equal annual installments beginning 2/11/2014.
Bradley R. Gabriel, Attorney-in-Fact for Frederick H. Waddell
2017-11-30