Susan C. Levy - Nov 4, 2025 Form 4 Insider Report for NORTHERN TRUST CORP (NTRS)

Role
EVP and General Counsel
Signature
David A. Serna, Attorney-in-Fact for Susan C. Levy
Stock symbol
NTRS
Transactions as of
Nov 4, 2025
Transactions value $
-$1,928,150
Form type
4
Date filed
11/5/2025, 04:19 PM
Previous filing
Mar 4, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Levy Susan Cohen EVP and General Counsel 50 SOUTH LA SALLE ST, CHICAGO David A. Serna, Attorney-in-Fact for Susan C. Levy 2025-11-05 0001607570

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTRS Common Stock Options Exercise $1.61M +27.6K +57.18% $58.25 75.8K Nov 4, 2025 Direct F1, F2, F3, F4
transaction NTRS Common Stock Sale -$2.61M -20.4K -26.91% $127.92 55.4K Nov 4, 2025 Direct F1, F2, F5
transaction NTRS Common Stock Sale -$924K -7.18K -12.95% $128.74 48.3K Nov 4, 2025 Direct F1, F6
holding NTRS Common Stock 0 Nov 4, 2025 2023 GRAT F3, F7
holding NTRS Common Stock 38K Nov 4, 2025 2024 GRAT F4
holding NTRS Common Stock 35.4K Nov 4, 2025 Irrevocable Trust F2, F7, F8

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 -27.6K -100% $0.00 0 Nov 4, 2025 Common Stock 27.6K $58.25 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 15,807 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2 Reflects the August 11, 2025 transfer of 12,795 shares directly held by the reporting person into the reporting person's existing irrevocable trust.
F3 On September 3, 2025, the reporting person's 2023 grantor retained annuity trust ("GRAT") distributed 14,750 shares of the Corporation's common stock to the reporting person's existing brokerage account as an annuity payment in accordance with the terms of the GRAT instrument.
F4 On September 3, 2025, the reporting person's 2024 GRAT distributed 17,700 shares of the Corporation's common stock to the reporting person's existing brokerage account as an annuity payment in accordance with the terms of the GRAT instrument.
F5 Price reflects the weighted average sales price from $127.49 to $128.49. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F6 Price reflects the weighted average sales price from $128.50 to $129.24. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F7 On September 4, 2025, the reporting person's 2023 GRAT distributed 10,480 shares of the Corporation's common stock to the reporting person's existing irrevocable trust as a final annuity payment in accordance with the terms of the GRAT instrument.
F8 The reporting person's spouse is trustee of this trust.
F9 This option became exercisable in four equal annual installments beginning 2/16/2017.