Welcome to our dedicated page for Northern Trust SEC filings (Ticker: NTRS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Northern Trust Corporation filings document financial results, governance matters, investor presentations and capital structure disclosures for a financial services holding company. Recent Form 8-K reports include earnings releases, conference-call materials, Regulation FD presentations, annual meeting materials and stockholder voting results.
The filing record also describes securities registered on Nasdaq, including common stock and depositary shares representing interests in Series E non-cumulative perpetual preferred stock. Proxy materials cover board elections, executive compensation, equity plan approvals and auditor ratification, while material-event filings document debt offerings involving senior notes and subordinated notes.
Vanguard Capital Management filed a Schedule 13G reporting beneficial ownership of 13,678,574 shares (7.38%) of Northern Trust Corp common stock as of 03/31/2026. The filing shows 1,895,044 shares with sole voting power and 13,678,574 shares with sole dispositive power. The disclosure states ownership reflects holdings by Vanguard Capital Management LLC and affiliated Vanguard entities, including shares held by Vanguard funds and managed accounts.
Northern Trust Corp EVP & Chief Financial Officer David W. Fox Jr. reported open-market sales of company common stock through a trust. On April 28, 2026, a trust for his benefit sold 19,987 shares at $166.16 per share. On April 29, 2026, the same trust sold 13 shares at $165.74 per share, bringing total reported sales to 20,000 shares.
The sold shares are held in trusts established for his benefit and for his descendants, where he serves as trustee with investment control. After these transactions, one such trust holds 18,575 shares, and separate entries show 14,552 shares held directly and additional indirect holdings of 5,000 and 11 shares reported.
Northern Trust Corp Co-President of Asset Servicing Clive Bellows reported an open-market sale of company stock. On this Form 4, he sold 2,800 shares of Northern Trust common stock at a price of $165.02 per share. After the transaction, he directly owns 28,217 common shares. A footnote also states he holds 28,060 stock units that are payable on a 1-for-1 basis in Northern Trust common stock.
Northern Trust insider reported Rule 144 sales of Common stock: 3,255 shares on 03/04/2026 and 1,450 shares on 02/25/2026.
The form also lists vested shares dated 06/06/1994 (330 shares) and 01/07/1997 (19,670 shares) under "Securities To Be Sold."
NTRS reports a proposed sale under Form 144 of 2,800 shares of Common Stock with an aggregate amount of $462,058.80, reflected on 04/24/2026. The filing also lists a prior sale by Clive A. Bellows of 1,148 shares on 02/12/2026 for $166,752.74, and notes a restricted stock vesting event on 03/01/2026 for 2,800 shares issued as compensation.
Tribbett Charles A reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corporation director Charles A. Tribbett reported an equity compensation award and updated his holdings. On April 21, 2026, he received 989 shares of common stock as a grant or award at no cash cost, increasing his direct holdings to 35,798.58 shares.
On the same date, 1,902 previously reported and vested stock units, originally granted on April 22, 2025, were distributed and transferred into Tribbett’s existing trust account, resulting in 4,724 shares held indirectly by trust. These entries reflect compensation and a transfer of already earned shares, not open-market buying or selling.
Northern Trust Corp director David Byron Smith Jr. reported an acquisition of company stock under a compensation award. On April 21, 2026, he received 989 shares of Common Stock as a grant or award at a stated price of $0.00 per share, increasing his directly held shares to 989.
The filing also updates indirect holdings in various trusts for the benefit of Smith and his children, where he serves as co‑trustee and shares investment control or has a partial pecuniary interest. These trust positions include sizable blocks of Northern Trust common stock in addition to his directly held shares.
Northern Trust Corp director Richard Petrino reported two equity awards of common stock. On April 21, he acquired 989 shares at no cost as a grant, and an additional 17.45 shares at $171.74 per share, also characterized as an award rather than an open-market purchase.
A footnote states he also holds 2,175.97 stock units that will be paid on a 1-for-1 basis in Northern Trust common shares. The footnote corrects a previously reported stock unit balance, clarifying the actual amount on that earlier date was 2,118.09 units instead of 2,332.09.
Moritz Robert Edward Jr. reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Robert Edward Moritz Jr. received a grant of 989 shares of Common Stock on April 21, 2026. The filing describes this as a grant or award, not an open-market purchase, with a price per share of $0.0000.
A footnote explains this includes 989 stock units payable automatically on a 1-for-1 basis in shares of Northern Trust’s common stock. After this grant, Moritz directly holds a total of 7,920 shares of Northern Trust common stock.
Henderson Jay L reported acquisition or exercise transactions in this Form 4 filing.
Northern Trust Corp director Jay L. Henderson reported routine equity compensation and a trust-related transfer. On April 21, 2026, he received an award of 989 shares of common stock at no cash cost, increasing his directly held shares to 989. Separately, 1,902 previously vested and already reported stock units granted on April 22, 2025 were distributed as common shares and moved into his existing trust account, which now holds 18,318 shares indirectly. These are non-open-market transactions reflecting compensation and account structuring rather than discretionary stock purchases or sales.