0000073124-20-000252.txt : 20201112
0000073124-20-000252.hdr.sgml : 20201112
20201112182842
ACCESSION NUMBER: 0000073124-20-000252
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201109
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FRADKIN STEVEN L
CENTRAL INDEX KEY: 0001214324
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36609
FILM NUMBER: 201308466
MAIL ADDRESS:
STREET 1: 50 S LASALLE 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_160522370922231.xml
FORM 4
X0306
4
2020-11-09
0
0000073124
NORTHERN TRUST CORP
NTRS
0001214324
FRADKIN STEVEN L
50 SOUTH LA SALLE ST
CHICAGO
IL
60603
0
1
0
0
President/Wealth Management
Common Stock
2020-11-09
4
J
0
75000
90.20
D
0
I
2020 GRAT
Common Stock
2020-11-09
4
J
0
75000
90.20
A
153328
I
By Trust
Common Stock
41705
D
Common Stock
7100
I
2018 GRAT
Common Stock
1762
I
Spouse as trustee for Daughter
Common Stock
1762
I
Spouse as trustee for Son
Common Stock
10705.98
I
401(k) as of 9-30-2020
On November 9, 2020, the reporting person withdrew the balance of the Issuer's stock, or 75,000 shares, from his 2020 Grantor Retained Annuity Trust (the "2020 GRAT"). In exchange for the shares, the reporting person contributed securities in the principal amount of $6,765,000 to the 2020 GRAT. The withdrawal of shares from the 2020 GRAT resulted in a decrease in the number of shares the reporting person beneficially owns indirectly through the 2020 GRAT and a corresponding increase in the number of shares the reporting person beneficially owns indirectly through his existing trust account. The withdrawal of shares from the 2020 GRAT constitutes a change in form of beneficial ownership of the shares, exempted by Rule 16a-13 under the Securities Exchange Act of 1934.
Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
Bradley R. Gabriel, Attorney-in-Fact for Steven L. Fradkin
2020-11-12