Joyce St Clair - 11 Aug 2021 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
Executive Vice President
Signature
Bradley R. Gabriel, Attorney-in-Fact for Joyce St. Clair
Issuer symbol
NTRS
Transactions as of
11 Aug 2021
Net transactions value
-$1,817,137
Form type
4
Filing time
13 Aug 2021, 17:32:03 UTC
Previous filing
24 May 2021
Next filing
05 Nov 2021
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 $1,666,715 +23,739 +145% $70.21 40,153 11 Aug 2021 Direct F1
transaction NTRS Common Stock Options Exercise $2,301,184 +26,132 +65% $88.06 66,285 11 Aug 2021 Direct F1
transaction NTRS Common Stock Sale $5,785,036 -49,871 -75% $116.00 16,414 11 Aug 2021 Direct F1
transaction NTRS Common Stock Gift $0 -3,192 -7.2% $0.000000 41,047 11 Aug 2021 By Trust
holding NTRS Common Stock 5,097 11 Aug 2021 401(k) as of 6-30-2021

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 -23,739 -100% $0.000000* 0 11 Aug 2021 Common Stock 23,739 $70.21 Direct F2
transaction NTRS Employee Stock Option (right-to-buy) Options Exercise $0 -26,132 -100% $0.000000* 0 11 Aug 2021 Common Stock 26,132 $88.06 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 16,414 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2 This option became exercisable in four equal annual installments beginning on February 17, 2016.
F3 This option became exercisable in four equal annual installments beginning on February 21, 2018.