Northern Trust general counsel sells 16,984 shares

Q: How many NTRS shares did Susan Cohen Levy sell, and at what prices?

She sold 16,984 common shares on October 23, 2026, at a weighted average price of $168.15 per share, with prices ranging from $168.00 to $168.45, and 3,922 shares on October 26 at $168.69 per share. No Rule 10b5-1 plan is reported.

Q: What NTRS options did Susan Cohen Levy exercise?

She exercised options covering 16,984 common shares on October 23, 2026, and 3,922 shares on October 26, 2026, at an exercise price of $88.06 per share. The options expire February 21, 2027.

Northern Trust's EVP and General Counsel reported same-day option exercises and common-stock sales on both October 23 and October 26, 2026.

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Rhea-AI Filing Summary

Northern Trust Corp. EVP and General Counsel Susan Cohen Levy exercised options for 16,984 shares at $88.06 per share on October 23, 2026, and sold 16,984 shares at a weighted average $168.15 per share, with sale prices from $168.00 to $168.45. On October 26, she exercised options for and sold 3,922 shares at $88.06 and $168.69 per share, respectively. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Exercise and Sale: 20,906 shares ($1.68M approx. pre-tax spread)

Exercise and Sale 8 txns

Insider Levy Susan Cohen

Role EVP and General Counsel

Sold 20,906 shs ($3.52M)

Approx. gross sale proceeds $3.52M

Approx. exercise cost $1.84M

Approx. pre-tax spread $1.68M

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (right-to-buy) ^F4	3,922	$0.00	$0.00
Exercise	Common Stock ^F1	3,922	$88.06	$345K
Sale	Common Stock ^F1	3,922	$168.69	$662K
Exercise	Employee Stock Option (right-to-buy) ^F4	16,984	$0.00	$0.00
Exercise	Common Stock ^F1	16,984	$88.06	$1.50M
Sale	Common Stock ^{F2, F1}	16,984	$168.15	$2.86M
holding	Common Stock	--	--	--
holding	Common Stock ^F3	--	--	--

Holdings After Transaction: Employee Stock Option (right-to-buy) — 0 contracts (Direct); Common Stock — 59,378 shares (Direct); Common Stock — 38,026 shares (Indirect, 2024 GRAT); Common Stock — 35,412 shares (Indirect, Irrevocable Trust)

Footnotes (4)

F1. Includes 13,916 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
F2. Price reflects the weighted average sales price from $168.00 to $168.45. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
F3. The reporting person's spouse is trustee of this trust.
F4. This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Key Figures

Options exercised: 16,984 shares Exercise price: $88.06 per share Shares sold: 16,984 shares +5 more

8 metrics

Options exercised 16,984 shares October 23, 2026

Exercise price $88.06 per share Reported for the October 23 and October 26, 2026 option exercises

Shares sold 16,984 shares October 23, 2026

Weighted average sale price $168.15 per share October 23, 2026; sale prices ranged from $168.00 to $168.45

October 23 sale price range $168.00 to $168.45 per share Sales reported on October 23, 2026

Options exercised and shares sold 3,922 shares October 26, 2026

Sale price $168.69 per share October 26, 2026

Indirect trust holdings 38,026 shares in the 2024 GRAT; 35,412 shares in the Irrevocable Trust Reported as of October 23, 2026

Key Terms

Employee Stock Option (right-to-buy), weighted average sales price, stock units payable automatically, GRAT

4 terms

Employee Stock Option (right-to-buy) financial

"Employee Stock Option (right-to-buy)"

weighted average sales price financial

"weighted average sales price from $168.00 to $168.45"

stock units payable automatically technical

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

GRAT technical

"2024 GRAT"

FAQ

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

How many NTRS shares did Susan Cohen Levy sell, and at what prices?

She sold 16,984 common shares on October 23, 2026, at a weighted average price of $168.15 per share, with prices ranging from $168.00 to $168.45, and 3,922 shares on October 26 at $168.69 per share. No Rule 10b5-1 plan is reported.

What NTRS options did Susan Cohen Levy exercise?

She exercised options covering 16,984 common shares on October 23, 2026, and 3,922 shares on October 26, 2026, at an exercise price of $88.06 per share. The options expire February 21, 2027.

What NTRS shares were reported in Susan Cohen Levy's trusts?

As of October 23, 2026, the reported indirect positions were 38,026 common shares in the 2024 GRAT and 35,412 common shares in an Irrevocable Trust. Her spouse is trustee of the Irrevocable Trust.

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

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Available on EDGAR 10/27/2026 - 05:03 PM EDT Accepted by SEC EDGAR 10/27/2026 - 05:03 PM EDT

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)
10/23/2026

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	10/23/2026		M		16,984	A	$88.06	76,362⁽¹⁾	D
Common Stock	10/23/2026		S		16,984	D	$168.15⁽²⁾	59,378⁽¹⁾	D
Common Stock	10/26/2026		M		3,922	A	$88.06	63,300⁽¹⁾	D
Common Stock	10/26/2026		S		3,922	D	$168.69	59,378⁽¹⁾	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)
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)
Employee Stock Option (right-to-buy)	$88.06	10/23/2026		M			16,984	⁽⁴⁾	02/21/2027	Common Stock	16,984	$0	3,922	D
Employee Stock Option (right-to-buy)	$88.06	10/26/2026		M			3,922	⁽⁴⁾	02/21/2027	Common Stock	3,922	$0	0	D

Explanation of Responses:

1. Includes 13,916 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

2. Price reflects the weighted average sales price from $168.00 to $168.45. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.

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

4. This option becomes exercisable in four equal annual installments beginning 2/21/2018.

Remarks:

	David A. Serna, Attorney-in-Fact for Susan C. Levy	10/27/2026
	** 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