Form Type: 4

SEC EDGAR Link
Accession Number:0000073124-21-000201
Date:2021-05-07
Issuer: NORTHERN TRUST CORP (NTRS)
Original Submission Date:

Reporting Person:

THOMAS SHUNDRAWN A
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 2021-05-07 M 2,741 a $58.25 54,403 direct
COMMON STOCK 2021-05-07 S 2,741 d $118.26 51,662 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
EMPLOYEE STOCK OPTION (RIGHT-TO-BUY) 58.25 2021-05-07 deemed execution date M 2,741 (d) 2026-02-16 common stock 2,741 $58.25 5,000 direct
Footnotes
IDfootnote
f1 includes 19,622 stock units payable automatically on a 1-for-1 basis in shares of the corporation's common stock.
f2 price reflects the weighted average sales price from $118.23 to $118.31. information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
f3 this option became exercisable in four equal annual installments beginning on february 16, 2017.

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