David Byron Smith Jr - Apr 28, 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
Apr 28, 2023
Transactions value $
$0
Form type
4
Date filed
5/2/2023, 05:35 PM
Previous filing
Apr 27, 2023
Next filing
May 9, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Gift $0 +2.7K +7.15% $0.00 40.5K Apr 28, 2023 By Trust F1
holding NTRS Common Stock 1.86K Apr 28, 2023 Direct F2
holding NTRS Common Stock 15.4K Apr 28, 2023 Revocable Trust
holding NTRS Common Stock 1.7K Apr 28, 2023 By Trust F3
holding NTRS Common Stock 2.13K Apr 28, 2023 By Trust fbo Child 1 F4
holding NTRS Common Stock 2.13K Apr 28, 2023 By Trust fbo Child 2 F4
holding NTRS Common Stock 2.13K Apr 28, 2023 By Trust fbo Child 3 F4
holding NTRS Common Stock 1.19M Apr 28, 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.