0000073124-16-000505.txt : 20161110 0000073124-16-000505.hdr.sgml : 20161110 20161110183909 ACCESSION NUMBER: 0000073124-16-000505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161110 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 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: FRADKIN STEVEN L CENTRAL INDEX KEY: 0001214324 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36609 FILM NUMBER: 161989551 MAIL ADDRESS: STREET 1: 50 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60603 4 1 wf-form4_147882113730722.xml FORM 4 X0306 4 2016-11-10 0 0000073124 NORTHERN TRUST CORP NTRS 0001214324 FRADKIN STEVEN L 50 SOUTH LASALLE STREET CHICAGO IL 60603 0 1 0 0 President/Wealth Management Common Stock 2016-11-10 4 M 0 20124 63.36 A 68752 D Common Stock 2016-11-10 4 S 0 20124 77.95 D 48628 D Common Stock 94972 I By Trust Common Stock 14700 I GRAT Common Stock 1762 I Spouse as trustee for Son Common Stock 1762 I Spouse as trustee for Daughter Common Stock 9725.81 I 401(k) as of 9-30-16 Employee Stock Option (right-to-buy) 63.36 2016-11-10 4 M 0 20124 0 D 2017-02-20 Common Stock 20124.0 0 D Includes 48,628 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. Reflects the August 31, 2016 transfer of 14,700 shares of the Corporation's common stock from the reporting person's existing trust into a newly created grantor retained annuity trust. This option became exercisable in four equal annual installments beginning 2/20/2008. Bradley R. Gabriel, Attorney-in-Fact for Steven L. Fradkin 2016-11-10