Northern Trust CEO has 787 shares withheld for tax

Q: How many NTRS shares did Michael O’Grady have withheld?

Michael O’Grady had 787 shares withheld on November 3, 2026, at $171.78 per share to satisfy tax withholding obligations related to previously reported stock units.

Q: What NTRS shares did Michael O’Grady report holding through trusts?

The reported trust holdings were 417,676.44 shares in one trust and 6,959.85, 6,958.85 and 6,959.85 shares in three child-beneficiary trusts. O’Grady’s spouse is trustee of those three child-beneficiary trusts.

The chairman and CEO’s reported position also includes four trust-held balances; his spouse is trustee of the three child-beneficiary trusts.

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

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Form Type

Rhea-AI Filing Summary

Northern Trust Corp. Chairman and CEO Michael O’Grady had 787 common shares withheld on November 3, 2026, at $171.78 per share to satisfy tax withholding obligations related to previously reported stock units. He reported 56,110 directly held shares afterward, plus indirect holdings through four trusts: 417,676.44 shares and three child-beneficiary trust positions of 6,959.85, 6,958.85 and 6,959.85 shares. His spouse is trustee of the child-beneficiary trusts.

Insider Trade Summary

Tax Withholding: 787 shares

Tax Withholding 1 txn

Insider O'Grady Michael

Role Chairman and CEO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock ^{F1, F2}	787	$171.78	$135K
Holding	Common Stock	--	--	--
Holding	Common Stock ^F3	--	--	--
Holding	Common Stock ^F3	--	--	--
Holding	Common Stock ^F3	--	--	--

Holdings After Transaction: Common Stock — 56,110 shares (Direct); Common Stock — 417,676.44 shares (Indirect, By Trust); Common Stock — 6,959.85 shares (Indirect, By Trust fbo Child 1); Common Stock — 6,958.85 shares (Indirect, By Trust fbo Child 2); Common Stock — 6,959.85 shares (Indirect, By Trust fbo Child 3)

Holdings Before and After: Common Stock, 56,897 to 56,110 shares (Direct)

Footnotes (3)

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

Key Figures

Shares withheld for tax obligations: 787 shares Price per share: $171.78 per share Direct shares following transaction: 56,110 shares +4 more

7 metrics

Shares withheld for tax obligations 787 shares November 3, 2026; related to previously reported stock units

Price per share $171.78 per share Shares withheld on November 3, 2026

Direct shares following transaction 56,110 shares Reported after the November 3, 2026 transaction

Shares held by trust 417,676.44 shares Indirect holding reported on November 3, 2026

Shares held by child-beneficiary trust 6,959.85 shares Indirect holding reported on November 3, 2026

Shares held by child-beneficiary trust 6,958.85 shares Indirect holding reported on November 3, 2026

Shares held by child-beneficiary trust 6,959.85 shares Indirect holding reported on November 3, 2026

Key Terms

stock units, tax withholding obligations, 1-for-1 basis

3 terms

stock units financial

"related to 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.

tax withholding obligations financial

"to satisfy tax withholding obligations"

1-for-1 basis financial

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

FAQ

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

How many NTRS shares did Michael O’Grady have withheld?

Michael O’Grady had 787 shares withheld on November 3, 2026, at $171.78 per share to satisfy tax withholding obligations related to previously reported stock units.

What NTRS shares did Michael O’Grady report holding through trusts?

The reported trust holdings were 417,676.44 shares in one trust and 6,959.85, 6,958.85 and 6,959.85 shares in three child-beneficiary trusts. O’Grady’s spouse is trustee of those three child-beneficiary trusts.

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^*

O'Grady Michael

(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
X	Officer (give title below)	Other (specify below)
	Chairman and CEO

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)
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	11/03/2026		F		787⁽¹⁾	D	$171.78	56,110⁽²⁾	D
Common Stock								417,676.44	I	By Trust
Common Stock								6,959.85	I	By Trust fbo Child 1⁽³⁾
Common Stock								6,958.85	I	By Trust fbo Child 2⁽³⁾
Common Stock								6,959.85	I	By Trust fbo Child 3⁽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)

Explanation of Responses:

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

2. Represents 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 Michael G. O'Grady	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)

Source: View Original Filing on SEC EDGAR