Form Type: 4

SEC EDGAR Link
Accession Number:0000073124-17-000297
Date:2017-10-18
Issuer: NORTHERN TRUST CORP (NTRS)
Original Submission Date:

Reporting Person:

ST CLAIR JOYCE
50 SOUTH LASALLE STREET
CHICAGO, IL 60603

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2017-10-18 M 7,665 a $58.25 37,520 direct
COMMON STOCK 2017-10-18 S 7,665 d $95.00 29,855 direct
COMMON STOCK 2017-10-18 0 $0.00 21,939 indirect
COMMON STOCK 2017-10-18 0 $0.00 7,692 indirect
COMMON STOCK 2017-10-18 0 $0.00 5,101 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) 58.25 2017-10-18 deemed execution date M 7,665 (d) 2026-02-16 common stock 7,665 $58.25 22,992 direct
Footnotes
IDfootnote
f1 includes 29,855 stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock.
f2 this transaction was effected pursuant to a trading plan adopted in accordance with sec rule 10b5-1.
f3 this option becomes exercisable in four equal annual installments beginning 2/16/2017.
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