0000073124-17-000298.txt : 20171020
0000073124-17-000298.hdr.sgml : 20171020
20171020163753
ACCESSION NUMBER: 0000073124-17-000298
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171018
FILED AS OF DATE: 20171020
DATE AS OF CHANGE: 20171020
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: 171147369
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_150853186055169.xml
FORM 4
X0306
4
2017-10-18
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
2017-10-18
4
M
0
127964
52.64
A
329483
D
Common Stock
2017-10-18
4
M
0
50000
52.69
A
379483
D
Common Stock
2017-10-18
4
S
0
141720
95.52
D
237763
D
Common Stock
2017-10-18
4
S
0
36244
96.10
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
34759.72
I
401(k) as of 9-30-2017
Employee Stock Option (right-to-buy)
52.64
2017-10-18
4
M
0
127964
0
D
2021-02-14
Common Stock
127964.0
0
D
Employee Stock Option (right-to-buy)
52.69
2017-10-18
4
M
0
50000
0
D
2023-02-11
Common Stock
50000.0
44658
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 $95.03 to $96.02. 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 $96.03 to $96.29. 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 2/14/2012.
This option became exercisable in four equal annual installments beginning 2/11/2014.
Bradley R. Gabriel, Attorney-in-Fact for Frederick H. Waddell
2017-10-20