Northern Trust (NTRS) director receives stock unit awards, lifts holdings

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Harrison Dean M reported acquisition or exercise transactions in this Form 4 filing.

NORTHERN TRUST CORP director Dean M. Harrison reported stock-based awards of common stock. On June 30, he received 258.86 shares of common stock at a reference price of $173.84, bringing his direct holdings to 34,773.73 shares.

On July 1, he received an additional 130.96 shares at a reference price of $175.60, increasing direct ownership to 34,904.69 shares. The filing also shows 47 shares held indirectly through an LLC and 1,000 shares held indirectly through a trust. A footnote describes the awards as stock units payable on a 1-for-1 basis in Northern Trust common stock.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Harrison Dean M

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	130.96	$175.60	$23K
Grant/Award	Common Stock	258.86	$173.84	$45K
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 34,904.69 shares (Direct, null); Common Stock — 1,000 shares (Indirect, By Trust)

Footnotes (1)

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Key Figures

Grant on June 30: 258.86 shares at $173.84 Grant on July 1: 130.96 shares at $175.60 Direct holdings after July 1: 34,904.69 shares +3 more

6 metrics

Grant on June 30 258.86 shares at $173.84 Common Stock grant/award acquisition on June 30

Grant on July 1 130.96 shares at $175.60 Common Stock grant/award acquisition on July 1

Direct holdings after July 1 34,904.69 shares Direct ownership of Northern Trust common stock

Indirect LLC holdings 47 shares Indirect ownership classified as By LLC

Indirect trust holdings 1,000 shares Indirect ownership classified as By Trust

Transaction count (acquisitions) 2 grant/award acquisitions Non-derivative stock-based awards reported

Key Terms

Common Stock, Grant, award, or other acquisition, stock units, indirect ownership

4 terms

Common Stock financial

"security_title: "Common Stock" for all reported entries"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Grant, award, or other acquisition financial

"transaction_code_description: "Grant, award, or other acquisition""

stock units financial

"Represents stock units payable automatically on a 1-for-1 basis in shares"

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.

indirect ownership financial

"direct_or_indirect: "I" with nature_of_ownership "By LLC" and "By Trust""

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/02/2026 - 05:49 PM Accepted by SEC EDGAR 07/02/2026 - 05:49 PM

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^*

Harrison Dean M

(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)
06/30/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	06/30/2026		A		258.86	A	$173.84	34,773.73⁽¹⁾	D
Common Stock	07/01/2026		A		130.96	A	$175.6	34,904.69⁽¹⁾	D
Common Stock								1,000	I	By Trust
Common Stock								47	I	By LLC

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

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

Remarks:

	David A. Serna, Attorney-in-Fact for Dean M. Harrison	07/02/2026
	** 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)

Source: View Original Filing on SEC EDGAR

FAQ

What did Dean M. Harrison report in this Northern Trust (NTRS) Form 4?

Dean M. Harrison reported receiving stock-based awards of Northern Trust common stock. The filing shows two grant-type acquisitions that increased his direct share ownership and confirms additional indirect holdings through an LLC and a trust.

How many Northern Trust (NTRS) shares did Harrison acquire in these transactions?

Harrison acquired 258.86 shares on June 30 and 130.96 shares on July 1. Both are classified as grant or award acquisitions, not open-market purchases, and are tied to stock units payable in common shares.

What are Dean M. Harrison’s direct Northern Trust (NTRS) holdings after the Form 4 transactions?

After the reported grants, Harrison directly holds 34,904.69 shares of Northern Trust common stock. This reflects the cumulative effect of the June 30 and July 1 stock-based award entries disclosed in the Form 4 filing.

What indirect Northern Trust (NTRS) holdings are disclosed for Dean M. Harrison?

The Form 4 shows 47 shares of Northern Trust common stock held indirectly through an LLC and 1,000 shares held indirectly through a trust. These indirect positions are reported separately from Harrison’s direct share ownership.

Are the Northern Trust (NTRS) transactions open-market buys or compensation grants?

The transactions are classified as grant or award acquisitions, not open-market purchases. A footnote explains they are stock units automatically payable on a 1-for-1 basis in Northern Trust common stock, indicating compensation-related awards.