0000073124-17-000276.txt : 20170928 0000073124-17-000276.hdr.sgml : 20170928 20170928170429 ACCESSION NUMBER: 0000073124-17-000276 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170927 FILED AS OF DATE: 20170928 DATE AS OF CHANGE: 20170928 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: 171108197 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_150663264703073.xml FORM 4 X0306 4 2017-09-27 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 2017-09-27 4 M 0 100000 52.64 A 301519 D Common Stock 2017-09-27 4 S 0 100000 92 D 201519 D Common Stock 68570 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 23000 I 2017-2 GRAT Common Stock 15506 I By Spouse Common Stock 34580.20 I 401(k) as of 6-30-2017 Employee Stock Option (right-to-buy) 52.64 2017-09-27 4 M 0 100000 0 D 2021-02-14 Common Stock 100000.0 127964 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 $92.00 to $92.08. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. This option becomes exercisable in four equal annual installments beginning 2/14/2012. Bradley R. Gabriel, Attorney-in-Fact for Frederick H. Waddell 2017-09-28