Form Type: 4

SEC EDGAR Link
Accession Number:0000073124-21-000168
Date:2021-04-20
Issuer: NORTHERN TRUST CORP (NTRS)
Original Submission Date:

Reporting Person:

POWELL CHARLES D
50 SOUTH LA SALLE ST
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 2021-04-20 M 1,679 a $0.00 1,679 direct
COMMON STOCK 2021-04-20 D 1,679 d $107.37 0 direct
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
STOCK UNITS 0.0 2021-04-20 deemed execution date M 1,679 (d) common stock 1,679 $0.00 0 direct
STOCK UNITS 0.0 2021-04-20 deemed execution date A 1,164 (a) common stock 1,164 $0.00 1,164 direct
Footnotes
IDfootnote
f1 each unit is the economic equivalent of one share of the corporation's common stock and is settled in cash upon vesting.
f2 1,679 stock units vested on april 20, 2021 and were paid in cash to the advisory director. this form reports such settlement in cash as the deemed conversion of units and immediate disposition of underlying common stock in accordance with sec guidance.
f3 the stock units will be paid in cash to the advisory director upon the date of the corporation's 2022 annual meeting of stockholders.
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