DAVID BYRON SMITH JR - 28 Apr 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.
Issuer symbol
NTRS
Transactions as of
28 Apr 2023
Net transactions value
$0
Form type
4
Filing time
02 May 2023, 17:35:27 UTC
Previous filing
27 Apr 2023
Next filing
09 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Gift $0 +2,700 +7.1% $0.000000 40,487 28 Apr 2023 By Trust F1
holding NTRS Common Stock 1,855 28 Apr 2023 Direct F2
holding NTRS Common Stock 15,431 28 Apr 2023 Revocable Trust
holding NTRS Common Stock 1,704 28 Apr 2023 By Trust F3
holding NTRS Common Stock 2,125 28 Apr 2023 By Trust fbo Child 1 F4
holding NTRS Common Stock 2,125 28 Apr 2023 By Trust fbo Child 2 F4
holding NTRS Common Stock 2,125 28 Apr 2023 By Trust fbo Child 3 F4
holding NTRS Common Stock 1,188,880 28 Apr 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 April 28, 2023, a trust in which the reporting person has a partial direct pecuniary interest distributed 21,600 shares of the Corporation's common stock to such trust's beneficiaries, of which 2,700 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.