# EDGAR Filing Document

**Accession Number:** 0000073124
**File Stem:** 0000073124-23-000020
**Filing Date:** 2023-2
**Character Count:** 6910
**Document Hash:** 5a7469f2b306c97cab14e37f1d205089
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000073124-23-000020.hdr.sgml**: 20230202

**ACCESSION NUMBER**: 0000073124-23-000020

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230202

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SMITH DAVID BYRON JR
- **CENTRAL INDEX KEY:** 0001478669

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36609
- **FILM NUMBER:** 23582496

**MAIL ADDRESS:**
- **STREET 1:** 155 HARLEM AVE.
- **CITY:** GLENVIEW
- **STATE:** IL
- **ZIP:** 60025
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NORTHERN TRUST CORP
- **CENTRAL INDEX KEY:** 0000073124
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **IRS NUMBER:** 362723087
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 50 S LASALLE ST
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60603
- **BUSINESS PHONE:** 3126306000

**MAIL ADDRESS:**
- **STREET 1:** 50 S LASALLE ST
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60603

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NORTRUST CORP
- **DATE OF NAME CHANGE:** 19780525

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SMITH DAVID BYRON JR<br><sub>(Last) (First) (Middle)</sub><br>50 SOUTH LA SALLE ST<br><sub>(Street)</sub><br>CHICAGO, IL 60603<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NORTHERN TRUST CORP [ NTRS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-31 |  | G | V | 2160 | A | $0 | 36444<sup>(1)</sup> | I | By Trust |
| Common Stock |  |  |  |  |  |  |  | 1343<sup>(2)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 15431 | I | Revocable Trust |
| Common Stock |  |  |  |  |  |  |  | 1704 | I | By Trust<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2125 | I | By Trust fbo Child 1<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2125 | I | By Trust fbo Child 2<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2125 | I | By Trust fbo Child 3<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1210480<sup>(1)</sup> | I | By Trust<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) On January 31, 2023, a trust in which the reporting person has a partial direct pecuniary interest distributed 17,280 shares of the Corporation's common stock to such trust's beneficiaries, of which 2,160 shares were distributed to the reporting person.

(2) Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

(3) 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.

(4) 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.

(5) These shares are held in a trust of which reporting person has a partial direct pecuniary interest.

**Signature:** Bradley R. Gabriel, Attorney-in-Fact for David H. B. Smith, Jr.  
**Date:** 2023-02-02

### Remarks:

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.**