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