-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VelGNaKzax0Z0LzbWIXrTqsspNgRXTIoXEylR6e68GYuB7i3C5XoldBw/B60IdWy PdbslTg0x3lnOWQdggPJWQ== 0000940180-02-001226.txt : 20020627 0000940180-02-001226.hdr.sgml : 20020627 20020627102912 ACCESSION NUMBER: 0000940180-02-001226 CONFORMED SUBMISSION TYPE: 11-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020627 FILER: 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 FILING VALUES: FORM TYPE: 11-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-05965 FILM NUMBER: 02688406 BUSINESS ADDRESS: STREET 1: 50 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60675 BUSINESS PHONE: 3126306000 FORMER COMPANY: FORMER CONFORMED NAME: NORTRUST CORP DATE OF NAME CHANGE: 19780525 11-K 1 d11k.txt FORM 11-K ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ----------------- FORM 11-K [Mark One] |X| ANNUAL REPORT Pursuant to Section 15(d) 1934 For the fiscal year ended December 31, 2001. OR |_| TRANSITION REPORT Pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Transition Period from __________ to __________ Commission File Number 0-5965. A. Full Title of Plan: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN B. Name of Issuer of securities held pursuant to the plan and the address of its principal executive office: Northern Trust Corporation 50 South LaSalle Street Chicago, Illinois 60675 ================================================================================ Financial Statements and Exhibits The following financial statements and schedules are filed as part of this annual report: 1. An audited statement of financial condition as of the end of the latest two fiscal years of The Northern Trust Company Thrift Incentive Plan. 2. An audited statement of income and changes in Plan equity for each of the latest three fiscal years of The Northern Trust Company Thrift- Incentive Plan. Those financial statements and schedules are incorporated by reference in the Form S-8 Registration Statement under the Securities Act of 1933, The Northern Trust Company Thrift-Incentive Plan, Registration No.333-58784. All other documents relating to TIP have previously been filed with the Securities and Exchange Commission in Washington, D.C. with Form S-8 Registration Statement, The Northern Trust Company Thrift-Incentive Plan, Registration No.333-58784. Signature Pursuant to the requirements of the Securities Exchange Act of 1934, the Employee Benefit Administrative Committee which is the plan administrator for TIP has caused this annual report to be signed by the undersigned thereunder duly authorized. THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN Date: June 27, 2002 By /s/ MARTIN J. JOYCE, JR. Chairperson, Employee Benefit Administrative Committee -1- Report of Independent Public Accountants To The Northern Trust Company Employee Benefit Administrative Committee: We have audited the accompanying statements of net assets available for benefits of THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN as of December 31, 2001 and 2000 and the related statements of changes in net assets available for benefits for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Plan's management. Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2001 and 2000 and the changes in net assets available for benefits for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States of America. Our audits were made for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental schedules of investments at December 31, 2001 and reportable transactions for the year ended December 31, 2001 are presented for purposes of aditional analysis and are not a required part of the basic financial statements but are supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. The supplemental schedules have been subjected to the auditing procedures applied in the audits of the basic financial statements and, in our opinion, are fairly stated in all material respects in relation to the basic financial statements taken as a whole. /s/ HILL, TAYLOR LLC April 12, 2002 -2- CONSENT OF INDEPENDENT PUBLIC ACCOUNTANTS As independent public accountants, we hereby consent to the incorporation of our report dated April 12, 2002 into this Form 11-K and to incorporation by reference of such report and the plan annual financial statements prepared in connection therewith in Form S-8, No.333-58784, previously filed by Northern Trust Corporation. /s/ HILL, TAYLOR LLC Chicago, Illinois June 27, 2002 -3- -----END PRIVACY-ENHANCED MESSAGE-----