Northern Trust counsel has 191 shares withheld for tax

The EVP and General Counsel's reported direct holdings were 59,187 shares after withholding, alongside holdings reported through a GRAT and an Irrevocable Trust.

Available on EDGAR 11/05/2026 - 04:08 PM EST Accepted by SEC EDGAR 11/05/2026 - 04:08 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

At Northern Trust Corp., EVP and General Counsel Susan Cohen Levy had 191 common shares withheld on November 3, 2026, to satisfy tax withholding obligations related to previously reported stock units; the reported price was $171.78 per share. Her reported direct holdings afterward were 59,187 shares, including 13,725 stock units payable automatically on a 1-for-1 basis. She also reported indirect holdings of 38,026 shares in a 2024 GRAT and 35,412 shares in an Irrevocable Trust; her spouse is trustee of the latter.

Insider Trade Summary

Tax Withholding: 191 shares

Tax Withholding 1 txn

Insider Levy Susan Cohen

Role EVP and General Counsel

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	191	$171.78	$33K
Holding	Common Stock	--	--	--
Holding	Common Stock F3	--	--	--

Holdings After Transaction: Common Stock — 59,187 shares (Direct); Common Stock — 38,026 shares (Indirect, 2024 GRAT); Common Stock — 35,412 shares (Indirect, Irrevocable Trust)

Holdings Before and After: Common Stock, 59,378 to 59,187 shares (Direct)

Footnotes (3)

1. F1. Represents shares withheld to satisfy tax withholding obligations related to previously reported stock units.
2. F2. Includes 13,725 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
3. F3. The reporting person's spouse is trustee of this trust.

Key Figures

Shares withheld for tax liability: 191 shares Reported price per share: $171.78 per share Direct common shares following transaction: 59,187 shares +3 more

6 metrics

Shares withheld for tax liability 191 shares November 3, 2026

Reported price per share $171.78 per share Shares withheld on November 3, 2026

Direct common shares following transaction 59,187 shares Reported after the November 3, 2026 transaction

Stock units included in direct holdings 13,725 stock units Payable automatically on a 1-for-1 basis in common shares

Indirect shares in 2024 GRAT 38,026 shares Reported as of November 3, 2026

Indirect shares in Irrevocable Trust 35,412 shares Reported as of November 3, 2026; the reporting person's spouse is trustee

Key Terms

tax withholding obligations, stock units, GRAT

3 terms

tax withholding obligations financial

"satisfy tax withholding obligations related to previously reported stock units"

stock units financial

"previously reported stock units"

Stock units are individual pieces of ownership in a company, like slices of a pie that together make up the whole business. They matter to investors because each unit represents a claim on the company’s assets, profits and sometimes voting power, and changes in the number or value of these units affect ownership percentages, potential dividends and share dilution — all of which influence an investment’s worth.

GRAT financial

"2024 GRAT"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many NTRS shares did Susan Cohen Levy have withheld?

Susan Cohen Levy had 191 common shares withheld on November 3, 2026, to satisfy tax withholding obligations related to previously reported stock units. The reported price was $171.78 per share.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Levy Susan Cohen

(Last) (First) (Middle)

50 SOUTH LA SALLE ST

(Street)

CHICAGO ILLINOIS 60603

(City) (State) (Zip)

UNITED STATES

(Country)

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 and General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/03/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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	11/03/2026		F		191(1)	D	$171.78	59,187(2)	D
Common Stock								38,026	I	2024 GRAT
Common Stock								35,412	I	Irrevocable Trust(3)

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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

Explanation of Responses:

1. Represents shares withheld to satisfy tax withholding obligations related to previously reported stock units.

2. Includes 13,725 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

3. The reporting person's spouse is trustee of this trust.

Remarks:

	David A. Serna, Attorney-in-Fact for Susan C. Levy	11/05/2026
	** Signature of Reporting Person	Date
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.
* Form 4: SEC 1474 (03-26)