| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NTRS | Common Stock | Other | -$8.04M | -64K | -85.33% | $125.68 | 11K | Nov 15, 2021 | 2020 GRAT | F1 |
| transaction | NTRS | Common Stock | Other | $8.04M | +64K | +113.4% | $125.68 | 120K | Nov 15, 2021 | By Trust | F1 |
| holding | NTRS | Common Stock | 41.3K | Nov 15, 2021 | Direct | F2 | |||||
| holding | NTRS | Common Stock | 34.4K | Nov 15, 2021 | Gift Trust | F3 | |||||
| holding | NTRS | Common Stock | 1.76K | Nov 15, 2021 | Spouse as trustee for Son | ||||||
| holding | NTRS | Common Stock | 1.76K | Nov 15, 2021 | Spouse as trustee for Daughter | ||||||
| holding | NTRS | Common Stock | 11K | Nov 15, 2021 | 401(k) as of 9-30-2021 |
| Id | Content |
|---|---|
| F1 | On November 15, 2021, the reporting person withdrew 64,000 shares of the Issuer's stock from his 2020 Grantor Retained Annuity Trust (the "2020 GRAT"). In exchange for the shares, the reporting person contributed securities in the principal amount of $8,043,520 to the 2020 GRAT. The withdrawal of shares from the 2020 GRAT resulted in a decrease in the number of shares the reporting person beneficially owns indirectly through the 2020 GRAT and a corresponding increase in the number of shares the reporting person beneficially owns indirectly through his existing trust account. The withdrawal of shares from the 2020 GRAT constitutes a change in form of beneficial ownership of the shares, exempted by Rule 16a-13 under the Securities Exchange Act of 1934. |
| F2 | Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock. |
| F3 | The reporting person's spouse is trustee of this trust. |