Form Type: 4

SEC EDGAR Link
Accession Number:0000073124-21-000192
Date:2021-04-29
Issuer: NORTHERN TRUST CORP (NTRS)
Original Submission Date:

Reporting Person:

SMITH DAVID BYRON JR
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 2021-04-29 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
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 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.
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