David B. Smith Jr. - 31 Oct 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
31 Oct 2023
Net transactions value
$0
Form type
4
Filing time
01 Nov 2023, 17:04:50 UTC
Previous filing
08 Aug 2023
Next filing
07 Nov 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 +3,220 +7.5% $0.000000 46,307 31 Oct 2023 By Trust F1
holding NTRS Common Stock 1,855 31 Oct 2023 Direct F2
holding NTRS Common Stock 15,431 31 Oct 2023 Revocable Trust
holding NTRS Common Stock 1,704 31 Oct 2023 By Trust F3
holding NTRS Common Stock 2,125 31 Oct 2023 By Trust fbo Child 1 F4
holding NTRS Common Stock 2,125 31 Oct 2023 By Trust fbo Child 2 F4
holding NTRS Common Stock 2,125 31 Oct 2023 By Trust fbo Child 3 F4
holding NTRS Common Stock 1,168,080 31 Oct 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 October 31, 2023, a trust in which the reporting person has a partial direct pecuniary interest distributed 25,760 shares of the Corporation's common stock to such trust's beneficiaries, of which 3,220 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 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.