Form Type: 4

SEC EDGAR Link
Accession Number:0000073124-21-000182
Date:2021-04-23
Issuer: NORTHERN TRUST CORP (NTRS)
Original Submission Date:

Reporting Person:

ST CLAIR JOYCE
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 2021-04-23 S 9,248 d $107.42 0 indirect
COMMON STOCK 2021-04-23 0 $0.00 46,532 indirect
COMMON STOCK 2021-04-23 0 $0.00 16,414 direct
COMMON STOCK 2021-04-23 0 $0.00 6,568 indirect
COMMON STOCK 2021-04-23 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
Footnotes
IDfootnote
f1 price reflects the weighted average sales price from $107.28 to $107.62. information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
f2 reflects the march 5, 2021 distribution of 5,640 shares from the reporting person's grantor retained annuity trust to the reporting person's existing trust as an annuity payment in accordance with the terms of the grat instrument.
f3 represents stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock.
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