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