Northern Trust EVP South has 683 shares withheld for tax

The Executive Vice President's direct position included 43,447 stock units payable automatically in shares on a 1-for-1 basis.

Available on EDGAR 11/05/2026 - 04:09 PM EST Accepted by SEC EDGAR 11/05/2026 - 04:08 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Northern Trust Corp (NTRS) Executive Vice President Thomas A. South reported 683 shares withheld on November 3, 2026, at $171.78 per share to satisfy tax withholding obligations related to previously reported stock units. His direct position afterward was 92,234 shares, including 43,447 stock units payable automatically on a 1-for-1 basis in common stock. A separate 4,341 shares were held indirectly through a 401(k) as of September 30, 2026. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Tax Withholding: 683 shares

Tax Withholding 1 txn

Insider South Thomas A

Role Executive Vice President

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	683	$171.78	$117K
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 92,234 shares (Direct); Common Stock — 4,340.79 shares (Indirect, 401(k) as of 9-30-2026)

Holdings Before and After: Common Stock, 92,917 to 92,234 shares (Direct)

Footnotes (2)

1. F1. Represents shares withheld to satisfy tax withholding obligations related to previously reported stock units.
2. F2. Includes 43,447 stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.

Key Figures

Shares withheld: 683 shares Reported price per share: $171.78 per share Direct shares following transaction: 92,234 shares +2 more

5 metrics

Shares withheld 683 shares For tax withholding obligations on November 3, 2026

Reported price per share $171.78 per share November 3, 2026 transaction

Direct shares following transaction 92,234 shares Thomas A. South's reported direct position after the transaction

Stock units 43,447 stock units Included in the post-transaction amount; payable automatically on a 1-for-1 basis in common stock

Indirect 401(k) holding 4,341 shares As of September 30, 2026

Key Terms

tax withholding obligations, stock units, 401(k)

3 terms

tax withholding obligations financial

"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.

401(k) financial

"401(k) as of 9-30-2026"

A 401(k) is a type of retirement savings plan offered by employers that allows workers to set aside a portion of their paycheck before taxes are taken out. The money saved in a 401(k) can grow over time through investments, helping individuals build funds for their future retirement. It matters to investors because it provides a tax-advantaged way to save and invest for long-term financial security.

FAQ

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

How many NTRS shares did Thomas A. South have withheld?

Thomas A. South, an Executive Vice President, reported that 683 shares were withheld on November 3, 2026, at $171.78 per share to satisfy tax withholding obligations related to previously reported stock units. His direct position afterward was 92,234 shares, including 43,447 stock units payable automatically on a 1-for-1 basis in common stock; no Rule 10b5-1 plan is reported.

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^*

South Thomas A

(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)
	Executive Vice President

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		683(1)	D	$171.78	92,234(2)	D
Common Stock								4,340.79	I	401(k) as of 9-30-2026

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 43,447 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 Thomas A. South	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)