0000073124-16-000509.txt : 20161110 0000073124-16-000509.hdr.sgml : 20161110 20161110184012 ACCESSION NUMBER: 0000073124-16-000509 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161109 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: Potter Stephen N CENTRAL INDEX KEY: 0001378549 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36609 FILM NUMBER: 161989558 MAIL ADDRESS: STREET 1: 50 S. LA SALLE ST. CITY: CHICAGO STATE: IL ZIP: 60603 4 1 wf-form4_147882119911612.xml FORM 4 X0306 4 2016-11-09 0 0000073124 NORTHERN TRUST CORP NTRS 0001378549 Potter Stephen N 50 SOUTH LASALLE STREET CHICAGO IL 60603 0 1 0 0 President / Asset Management Common Stock 2016-11-09 4 M 0 35800 71.23 A 81818 D Common Stock 2016-11-09 4 M 0 90270 57.54 A 172088 D Common Stock 2016-11-09 4 S 0 72321 75.26 D 99767 D Common Stock 2016-11-09 4 S 0 53749 76.30 D 46018 D Common Stock 22968 I By Trust Common Stock 30000 I GRAT Common Stock 1270 I Spouse as Trustee for Son Common Stock 1270 I Spouse as Trustee for Daughter Common Stock 8345.79 I 401(k) as of 9-30-2016 Employee Stock Option (right-to-buy) 71.23 2016-11-09 4 M 0 35800 0 D 2018-02-19 Common Stock 35800.0 0 D Employee Stock Option (right-to-buy) 57.54 2016-11-09 4 M 0 90270 0 D 2019-07-21 Common Stock 90270.0 0 D Includes 46,018 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 $75.00 to $75.995. 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 $76.00 to $76.61. 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 2/19/2009. This option became exercisable in four equal annual installments beginning 7/21/2010. Bradley R. Gabriel, Attorney-in-Fact for Stephen N. Potter 2016-11-10