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