Shundrawn A. Thomas - 27 Jul 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
Issuer symbol
NTRS
Transactions as of
27 Jul 2021
Net transactions value
-$271,100
Form type
4
Filing time
28 Jul 2021, 17:45:45 UTC
Previous filing
20 May 2021
Next filing
20 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Options Exercise $291,250 +5,000 +9.7% $58.25 56,662 27 Jul 2021 Direct F1
transaction NTRS Common Stock Sale $562,350 -5,000 -8.8% $112.47 51,662 27 Jul 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 -5,000 -100% $0.000000* 0 27 Jul 2021 Common Stock 5,000 $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 $112.47 to $112.48. 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 February 16, 2017.