Welcome to our dedicated page for Northern Trust SEC filings (Ticker: NTRS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Northern Trust Corporation (Nasdaq: NTRS) files a range of documents with the U.S. Securities and Exchange Commission that provide detail on its activities as a commercial banking and financial services company. This SEC filings page for NTRS brings together those disclosures, including annual and quarterly reports and current reports on Form 8-K, with AI-powered tools to help interpret the information.
For Northern Trust, Form 10-K annual reports and Form 10-Q quarterly reports describe its wealth management, asset servicing, asset management and banking businesses, as well as risk factors, capital position and segment performance. Form 8-K current reports capture specific events, such as earnings releases and investor presentations, leadership changes, debt offerings and share repurchase authorizations. Recent 8-K filings, for example, have disclosed a new common stock repurchase authorization, the issuance of senior and subordinated notes under a shelf registration statement, and executive leadership changes in the asset management business.
Investors can also use this page to access proxy statements on executive compensation and governance matters, and Form 4 insider transaction reports that show purchases and sales of Northern Trust securities by directors and officers. These documents help build a picture of how management and the board oversee the company and manage their own holdings.
Stock Titan enhances these filings with AI-generated summaries and explanations that highlight key points from long documents, such as capital actions, changes in leadership, or updates to business strategy. Real-time updates from the SEC’s EDGAR system mean new NTRS filings appear promptly, while AI insights on 10-Ks, 10-Qs and 8-Ks can save time for readers seeking to understand Northern Trust’s financial condition, regulatory disclosures and corporate actions.
Tribbett Charles A reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corporation director Charles A. Tribbett reported an equity compensation award and updated his holdings. On April 21, 2026, he received 989 shares of common stock as a grant or award at no cash cost, increasing his direct holdings to 35,798.58 shares.
On the same date, 1,902 previously reported and vested stock units, originally granted on April 22, 2025, were distributed and transferred into Tribbett’s existing trust account, resulting in 4,724 shares held indirectly by trust. These entries reflect compensation and a transfer of already earned shares, not open-market buying or selling.
Northern Trust Corp director David Byron Smith Jr. reported an acquisition of company stock under a compensation award. On April 21, 2026, he received 989 shares of Common Stock as a grant or award at a stated price of $0.00 per share, increasing his directly held shares to 989.
The filing also updates indirect holdings in various trusts for the benefit of Smith and his children, where he serves as co‑trustee and shares investment control or has a partial pecuniary interest. These trust positions include sizable blocks of Northern Trust common stock in addition to his directly held shares.
Northern Trust Corp director Richard Petrino reported two equity awards of common stock. On April 21, he acquired 989 shares at no cost as a grant, and an additional 17.45 shares at $171.74 per share, also characterized as an award rather than an open-market purchase.
A footnote states he also holds 2,175.97 stock units that will be paid on a 1-for-1 basis in Northern Trust common shares. The footnote corrects a previously reported stock unit balance, clarifying the actual amount on that earlier date was 2,118.09 units instead of 2,332.09.
Moritz Robert Edward Jr. reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Robert Edward Moritz Jr. received a grant of 989 shares of Common Stock on April 21, 2026. The filing describes this as a grant or award, not an open-market purchase, with a price per share of $0.0000.
A footnote explains this includes 989 stock units payable automatically on a 1-for-1 basis in shares of Northern Trust’s common stock. After this grant, Moritz directly holds a total of 7,920 shares of Northern Trust common stock.
Henderson Jay L reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Jay L. Henderson reported routine equity compensation and a trust-related transfer. On April 21, 2026, he received an award of 989 shares of common stock at no cash cost, increasing his directly held shares to 989. Separately, 1,902 previously vested and already reported stock units granted on April 22, 2025 were distributed as common shares and moved into his existing trust account, which now holds 18,318 shares indirectly. These are non-open-market transactions reflecting compensation and account structuring rather than discretionary stock purchases or sales.
Northern Trust Corp director Donald Thompson reported routine equity awards. On April 21, 2026, he acquired 989 shares of common stock at $0.00 per share as a grant or award, increasing his direct holdings to 31,336.74 shares.
He also acquired 34.89 shares of common stock at $171.74 per share through another grant or award, after which his direct ownership totaled 30,347.74 shares in that line item. In addition, an indirect holding of 1,743 shares is reported as held by trust. A footnote explains that the position represents stock units payable on a 1-for-1 basis in Northern Trust common stock.
SLARK MARTIN P reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Martin P. Slark reported equity awards of common stock–linked units. On April 21, 2026, he received 989.0000 shares of Common Stock as a grant or award at $0.0000 per share and an additional 34.8900 shares at $171.7400 per share.
After these awards, Slark directly owned 22,335.4700 shares of Common Stock and indirectly held 4,769.0000 shares through a trust. A footnote states the reported amount represents stock units payable automatically on a 1-for-1 basis in Northern Trust common shares, indicating these awards function as stock-based compensation rather than open-market purchases.
Northern Trust Corporation director Siddharth N. Mehta reported receiving two common stock awards. On April 21, 2026, he acquired 989 shares of common stock at $0.00 per share and an additional 34.89 shares at $171.74 per share as compensation-related grants.
The filing shows direct ownership totals after these awards of 12,460.75 shares and 11,471.75 shares on the respective lines. A footnote explains that these holdings include 6,888.75 stock units that are payable on a 1-for-1 basis in Northern Trust common shares.
Klevorn Marcy S reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Marcy S. Klevorn reported compensation-related stock awards. On April 21, 2026, she received 989 stock units that are payable on a 1-for-1 basis in Northern Trust common stock. The same day, she was also awarded 34.89 shares of common stock at a reported value of $171.74 per share. Both transactions are labeled as grants or awards rather than open-market purchases or sales, indicating routine equity compensation that increases her direct holdings.
NORTHERN TRUST CORP director Dean M. Harrison reported new equity awards in company stock. On April 21, 2026, he acquired 989 stock units that are payable on a 1-for-1 basis in Northern Trust common stock, at a stated price of $0.00 per unit.
He also received 34.89 shares of common stock at $171.74 per share. After these awards, his direct holdings totaled 34,514.87 shares. In addition, he has indirect holdings of 47 shares through an LLC and 1,000 shares through a trust.