Sec Form 4 Filing - Leech Wilson @ NORTHERN TRUST CORP - 2018-07-15

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Leech Wilson
2. Issuer Name and Ticker or Trading Symbol
NORTHERN TRUST CORP [ NTRS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP/Chief Risk Officer
(Last) (First) (Middle)
50 SOUTH LASALLE STREET
3. Date of Earliest Transaction (MM/DD/YY)
07/15/2018
(Street)
CHICAGO, IL60603
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/15/2018 F 729 D $ 104.89 38,135.63 ( 1 ) ( 2 ) D
Common Stock 07/21/2018 F 1,055 D $ 109.36 37,080.63 ( 3 ) ( 4 ) D
Common Stock 01/22/2019 A 1,954 A $ 0 39,034.63 ( 4 ) D
Common Stock 01/22/2019 F 919 D $ 90.42 38,115.63 ( 4 ) D
Common Stock 437 I UK Employee Stock Ownership Plan as of 12-31-18
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Leech Wilson
50 SOUTH LASALLE STREET
CHICAGO, IL60603
EVP/Chief Risk Officer
Signatures
Bradley R. Gabriel, Attorney-in-Fact for Wilson Leech 01/24/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reflects 729 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 1,551 previously reported stock units. The remaining 822 shares were distributed to the reporting person as shares of common stock.
( 2 )Includes 15,751 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
( 3 )Reflects 1,055 shares withheld in payment of Federal, State and Medicare taxes upon the vesting of 2,243 previously reported stock units. The remaining 1,188 shares were distributed to the reporting person as shares of common stock.
( 4 )Includes 13,508 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.