0000073124-20-000254.txt : 20201113 0000073124-20-000254.hdr.sgml : 20201113 20201113174854 ACCESSION NUMBER: 0000073124-20-000254 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201111 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: St Clair Joyce CENTRAL INDEX KEY: 0001393081 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36609 FILM NUMBER: 201312864 MAIL ADDRESS: STREET 1: 50 S LA SALLE ST CITY: CHICAGO STATE: IL ZIP: 60603 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_160530771940011.xml FORM 4 X0306 4 2020-11-11 0 0000073124 NORTHERN TRUST CORP NTRS 0001393081 St Clair Joyce 50 SOUTH LA SALLE ST CHICAGO IL 60603 0 1 0 0 Executive Vice President Common Stock 2020-11-11 4 M 0 6162 60.85 A 24003 D Common Stock 2020-11-11 4 M 0 22992 58.25 A 46995 D Common Stock 2020-11-11 4 S 0 29154 90.05 D 17841 D Common Stock 38774 I By Trust Common Stock 6568 I 2019 GRAT Common Stock 14888 I 2020 GRAT Common Stock 5116.98 I 401(k) as of 9-30-2020 Employee Stock Option (right-to-buy) 60.85 2020-11-11 4 M 0 6162 0 D 2024-02-10 Common Stock 6162.0 0 D Employee Stock Option (right-to-buy) 58.25 2020-11-11 4 M 0 22992 0 D 2026-02-16 Common Stock 22992.0 0 D Includes 17,841 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. Price reflects the weighted average sales price from $90.00 to $90.34. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. Reflects the March 4, 2020 transfer of 14,888 shares of the Corporation's common stock into a newly created grantor retained annuity trust. Reflects the August 21, 2020 distribution of 5,916 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 February 10, 2015. This option became exercisable in four equal annual installments beginning February 16, 2017. Bradley R. Gabriel, Attorney-in-Fact for Joyce St. Clair 2020-11-13