Shundrawn A. Thomas - May 7, 2021 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
President / Asset Management
Signature
Bradley R. Gabriel, Attorney-in-Fact for Shundrawn A. Thomas
Stock symbol
NTRS
Transactions as of
May 7, 2021
Transactions value $
-$164,487
Form type
4
Date filed
5/10/2021, 05:28 PM
Next filing
May 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Options Exercise $160K +2.74K +5.31% $58.25 54.4K May 7, 2021 Direct F1
transaction NTRS Common Stock Sale -$324K -2.74K -5.04% $118.26 51.7K May 7, 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NTRS Employee Stock Option (right-to-buy) Options Exercise $0 -2.74K -35.41% $0.00 5K May 7, 2021 Common Stock 2.74K $58.25 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.