NORTHERN TRUST CORP — Director's Dealing 2021

Aug 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NORTHERN TRUST CORP (NTRS)
CIK: 0000073124
Period of Report: 2021-07-30

Reporting Person: SMITH DAVID BYRON JR (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-30	Common Stock	G	1780	—	Acquired	24664	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1164	Direct
Common Stock	14267	Indirect
Common Stock	1704	Indirect
Common Stock	2125	Indirect
Common Stock	2125	Indirect
Common Stock	2125	Indirect
Common Stock	1304720	Indirect

Footnotes

F1: On July 30, 2021, a trust in which the reporting person has a partial direct pecuniary interest distributed 14,240 shares of the Corporation's common stock to such trust's beneficiaries, of which 1,780 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.