DAVID BYRON SMITH JR - 31 Jan 2022 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
Director
Signature
Bradley R. Gabriel, Attorney-in-Fact for David H. B. Smith, Jr.
Issuer symbol
NTRS
Transactions as of
31 Jan 2022
Net transactions value
$0
Form type
4
Filing time
02 Feb 2022, 16:18:44 UTC
Previous filing
14 Dec 2021
Next filing
08 Feb 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Gift $0 +1,730 +6.6% $0.000000 28,044 31 Jan 2022 By Trust F1
holding NTRS Common Stock 1,164 31 Jan 2022 Direct F2
holding NTRS Common Stock 14,267 31 Jan 2022 Revocable Trust
holding NTRS Common Stock 1,704 31 Jan 2022 By Trust F3
holding NTRS Common Stock 2,125 31 Jan 2022 By Trust fbo Child 1 F4
holding NTRS Common Stock 2,125 31 Jan 2022 By Trust fbo Child 2 F4
holding NTRS Common Stock 2,125 31 Jan 2022 By Trust fbo Child 3 F4
holding NTRS Common Stock 1,277,680 31 Jan 2022 By Trust F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On January 31, 2022, a trust in which the reporting person has a partial direct pecuniary interest distributed 13,840 shares of the Corporation's common stock to such trust's beneficiaries, of which 1,730 shares were distributed to the reporting person.
F2 Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F3 Shares are held in a trust established for the benefit of the reporting person and his children, of which the reporting person is a co-trustee and shares investment control.
F4 Shares are held in a trust established for the benefit of one of the reporting person's children, of which the reporting person is a co-trustee and shares investment control.
F5 These shares are held in a trust of which reporting person has a partial direct pecuniary interest.