Steven L. Fradkin - May 1, 2024 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
President/Wealth Management
Signature
Bradley R. Gabriel, Attorney-in-Fact for Steven L. Fradkin
Stock symbol
NTRS
Transactions as of
May 1, 2024
Transactions value $
-$99,598
Form type
4
Date filed
5/3/2024, 05:00 PM
Previous filing
Mar 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Options Exercise $239K +4.1K +8.89% $58.25 50.2K May 1, 2024 Direct F1
transaction NTRS Common Stock Sale -$338K -4.1K -8.17% $82.56 46.1K May 1, 2024 Direct F1
holding NTRS Common Stock 145K May 1, 2024 By Trust
holding NTRS Common Stock 52.3K May 1, 2024 Gift Trust F2
holding NTRS Common Stock 13.7K May 1, 2024 2022 GRAT
holding NTRS Common Stock 1.76K May 1, 2024 Spouse as trustee for Daughter
holding NTRS Common Stock 1.76K May 1, 2024 Spouse as trustee for Son
holding NTRS Common Stock 11.9K May 1, 2024 401(k) as of 3-31-2024

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NTRS Employee Stock Option (right-to-buy) Options Exercise $0 -4.1K -100% $0.00* 0 May 1, 2024 Common Stock 4.1K $58.25 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 46,078 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2 The reporting person's spouse is trustee of this trust.
F3 This option became exercisable in four equal annual installments beginning on February 16, 2017.