David Byron Smith Jr - Jan 31, 2023 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
Director
Signature
Bradley R. Gabriel, Attorney-in-Fact for David H. B. Smith, Jr.
Stock symbol
NTRS
Transactions as of
Jan 31, 2023
Transactions value $
$0
Form type
4
Date filed
2/2/2023, 04:37 PM
Previous filing
Dec 12, 2022
Next filing
Feb 7, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Gift $0 +2.16K +6.3% $0.00 36.4K Jan 31, 2023 By Trust F1
holding NTRS Common Stock 1.34K Jan 31, 2023 Direct F2
holding NTRS Common Stock 15.4K Jan 31, 2023 Revocable Trust
holding NTRS Common Stock 1.7K Jan 31, 2023 By Trust F3
holding NTRS Common Stock 2.13K Jan 31, 2023 By Trust fbo Child 1 F4
holding NTRS Common Stock 2.13K Jan 31, 2023 By Trust fbo Child 2 F4
holding NTRS Common Stock 2.13K Jan 31, 2023 By Trust fbo Child 3 F4
holding NTRS Common Stock 1.21M Jan 31, 2023 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, 2023, a trust in which the reporting person has a partial direct pecuniary interest distributed 17,280 shares of the Corporation's common stock to such trust's beneficiaries, of which 2,160 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.