Northern Trust director receives 1,160 trust shares

Separate entries list 989 direct stock units and 2,125 shares in each of three trusts established for his children.

Available on EDGAR 11/02/2026 - 06:22 PM EST Accepted by SEC EDGAR 11/02/2026 - 06:21 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Northern Trust Corp (NTRS) director David Byron Smith Jr. received 1,160 common shares on October 30, 2026, from a trust distribution. The trust distributed 9,280 shares to beneficiaries, including Smith’s 1,160 shares; he had a partial direct pecuniary interest in the trust. His reported post-transaction indirect position through a revocable trust was 88,317 shares.

Insider Trade Summary

1,160 shares gifted

Gift 1 txn

Insider SMITH DAVID BYRON JR

Role Director

Type	Security	Shares	Price	Value
Gift	Common Stock F1	1,160	$0.00	$0.00
Holding	Common Stock F2	--	--	--
Holding	Common Stock F3	--	--	--
Holding	Common Stock F4	--	--	--
Holding	Common Stock F4	--	--	--
Holding	Common Stock F4	--	--	--
Holding	Common Stock F1, F5	--	--	--

Holdings After Transaction: Common Stock — 88,317 shares (Indirect, By Revocable Trust); Common Stock — 989 shares (Direct); Common Stock — 976,024 shares (Indirect, By Trust); Common Stock — 2,125 shares (Indirect, By Trust fbo Child 1); Common Stock — 2,125 shares (Indirect, By Trust fbo Child 2); Common Stock — 2,125 shares (Indirect, By Trust fbo Child 3)

Holdings Before and After: Common Stock, 87,157 to 88,317 shares (Indirect, By Revocable Trust)

Footnotes (5)

1. F1. On October 30, 2026, a trust in which the reporting person has a partial direct pecuniary interest distributed 9,280 shares of the Corporation's common stock to such trust's beneficiaries, of which 1,160 shares were distributed to the reporting person.
2. F2. Represents stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
3. 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.
4. 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.
5. F5. These shares are held in a trust of which reporting person has a partial direct pecuniary interest.

Key Figures

Shares distributed to beneficiaries: 9,280 shares Shares received by David Byron Smith Jr.: 1,160 shares Indirect shares through revocable trust: 88,317 shares +2 more

5 metrics

Shares distributed to beneficiaries 9,280 shares Trust distribution on October 30, 2026

Shares received by David Byron Smith Jr. 1,160 shares Trust distribution on October 30, 2026

Indirect shares through revocable trust 88,317 shares Reported post-transaction position on October 30, 2026

Direct stock units 989 stock units Payable automatically on a 1-for-1 basis in common shares

Shares in each child-benefit trust 2,125 shares Each of three trusts reported on October 30, 2026

Key Terms

partial direct pecuniary interest, stock units, co-trustee

3 terms

partial direct pecuniary interest financial

"a partial direct pecuniary interest"

stock units financial

"stock units payable automatically on a 1-for-1 basis"

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.

co-trustee financial

"the reporting person is a co-trustee and shares investment control"

FAQ

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

How many NTRS shares did director David Byron Smith Jr. receive?

David Byron Smith Jr. received 1,160 common shares on October 30, 2026, in a trust distribution. The trust distributed 9,280 shares to its beneficiaries, including his 1,160 shares.

How many direct stock units were reported for David Byron Smith Jr.?

The reported direct holding included 989 stock units. They are payable automatically on a 1-for-1 basis in Northern Trust Corp common shares.

How many NTRS shares were held in trusts for Smith’s children?

Each of three trusts established for the benefit of one of David Byron Smith Jr.’s children held 2,125 shares. Smith was a co-trustee and shared investment control.

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

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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^*

SMITH DAVID BYRON JR

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/30/2026

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	10/30/2026		G		1,160	A	$0	88,317(1)	I	By Revocable Trust
Common Stock								989(2)	D
Common Stock								1,704	I	By Trust(3)
Common Stock								2,125	I	By Trust fbo Child 1(4)
Common Stock								2,125	I	By Trust fbo Child 2(4)
Common Stock								2,125	I	By Trust fbo Child 3(4)
Common Stock								974,320(1)	I	By Trust(5)

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. On October 30, 2026, a trust in which the reporting person has a partial direct pecuniary interest distributed 9,280 shares of the Corporation's common stock to such trust's beneficiaries, of which 1,160 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.

Remarks:

	David A. Serna Attorney-in-Fact for David H. B. Smith, Jr.	11/02/2026
	** 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)