| 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 | -12.3K | -100% | $0.00* | 0 | May 11, 2021 | Common Stock | 12.3K | $60.85 | Direct | F6 |
| transaction | NTRS | Employee Stock Option (right-to-buy) | Options Exercise | $0 | -23.7K | -100% | $0.00* | 0 | May 11, 2021 | Common Stock | 23.7K | $70.21 | Direct | F7 |
| Id | Content |
|---|---|
| F1 | Includes 41,341 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 $118.12 to $119.11. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. |
| F3 | Price reflects the weighted average sales price from $119.12 to $119.55. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request. |
| F4 | Reflects a November 29, 2017 purchase of 12 shares and a January 7, 2021 sale of 2 shares by the reporting person's trust, each previously unreported and each conducted at the discretion of a broker without the knowledge or direction of the Reporting Person. |
| F5 | The reporting person's spouse is trustee of this trust. |
| F6 | This option became exercisable in four equal annual installments beginning on February 10, 2015. |
| F7 | This option became exercisable in four equal annual installments beginning on February 17, 2016. |