0000073124-16-000497.txt : 20161109 0000073124-16-000497.hdr.sgml : 20161109 20161109202323 ACCESSION NUMBER: 0000073124-16-000497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161107 FILED AS OF DATE: 20161109 DATE AS OF CHANGE: 20161109 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 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: 161985645 MAIL ADDRESS: STREET 1: 50 S. LA SALLE ST. CITY: CHICAGO STATE: IL ZIP: 60675 4 1 wf-form4_147874099092536.xml FORM 4 X0306 4 2016-11-07 0 0000073124 NORTHERN TRUST CORP NTRS 0001223690 WADDELL FREDERICK H 50 SOUTH LASALLE STREET CHICAGO IL 60603 1 1 0 0 Chairman, President and CEO Common Stock 2016-11-07 5 G 0 E 1500 0 D 72342 I By Trust Common Stock 2016-11-07 4 M 0 70808 57.54 A 283367 D Common Stock 2016-11-07 4 M 0 32406 71.23 A 315773 D Common Stock 2016-11-07 4 S 0 103214 73.31 D 212559 D Common Stock 2016-11-08 4 M 0 38939 71.23 A 251498 D Common Stock 2016-11-08 4 S 0 38939 74.13 D 212559 D Common Stock 2016-11-09 4 M 0 53107 71.23 A 265666 D Common Stock 2016-11-09 4 S 0 100 74.32 D 265566 D Common Stock 2016-11-09 4 S 0 53007 75.20 D 212559 D Common Stock 17241 I 2014 GRAT Common Stock 39690 I 2015 GRAT Common Stock 34188 I 2016-1 GRAT Common Stock 29087 I 2016-2 GRAT Common Stock 8710 I By Spouse Common Stock 34264.45 I 401(k) as of 9-30-16 Employee Stock Option (right-to-buy) 57.54 2016-11-07 4 M 0 70808 0 D 2019-07-21 Common Stock 70808.0 200000 D Employee Stock Option (right-to-buy) 71.23 2016-11-07 4 M 0 32406 0 D 2018-02-19 Common Stock 32406.0 92046 D Employee Stock Option (right-to-buy) 71.23 2016-11-08 4 M 0 38939 0 D 2018-02-19 Common Stock 38939.0 53107 D Employee Stock Option (right-to-buy) 71.23 2016-11-09 4 M 0 53107 0 D 2018-02-19 Common Stock 53107.0 0 D Includes 212,439 shares representing 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 $73.00 to $74.00. 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 $74.00 to $74.43. 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 $74.85 to $75.71. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. This option became exercisable in four equal annual installments beginning 7/21/2010. This option became exercisable in four equal annual installments beginning 2/19/2009. Bradley R. Gabriel, Attorney-in-Fact for Frederick H. Waddell 2016-11-09