Accession Number: | 0000073124-21-000192 |
Date: | 2021-04-29 |
Issuer: | NORTHERN TRUST CORP (NTRS) |
Original Submission Date: |
SMITH DAVID BYRON JR
50 SOUTH LA SALLE ST
CHICAGO, IL 60603
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-04-29 | G | 1,780 | a | $0.00 | 22,884 | indirect | ||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 1,164 | direct | ||||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 14,267 | indirect | ||||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 1,704 | indirect | f3 | |||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 2,125 | indirect | f4 | |||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 2,125 | indirect | f4 | |||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 2,125 | indirect | f4 | |||
COMMON STOCK | 2021-04-29 | 0 | $0.00 | 1,318,960 | indirect | f5 |
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 Exercisable | Expiration 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 |
---|
ID | footnote |
---|---|
f1 | on april 29, 2021, a trust in which the reporting person has a partial direct pecuniary interest distributed 14,240 shares of the corporation's common stock to such trust's beneficiaries, of which 1,780 shares were distributed to the reporting person. |
f2 | represents stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock. |
f3 | shares are held in a trust established for the benefit of the reporting person and his children, of which the reporting person is a co-trustee and shares investment control. |
f4 | shares are held in a trust established for the benefit of one of the reporting person's children, of which the reporting person is a co-trustee and shares investment control. |
f5 | these shares are held in a trust of which reporting person has a partial direct pecuniary interest. |