SEC Info - Northern Trust Corp. - ‘8-K’ for 4/20/21

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Northern Trust Corp. – ‘8-K’ for 4/20/21

On: Tuesday, 4/20/21, at 7:57am ET · For: 4/20/21 · Accession #: 73124-21-145 · File #: 1-36609

  As Of               Filer                 Filing    For·On·As Docs:Size

 4/20/21  Northern Trust Corp.              8-K:2,9     4/20/21   13:924K

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     29K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    232K 
 9: R1          Cover Page Cover Page                               HTML     50K 
11: XML         IDEA XML File -- Filing Summary                      XML     12K 
 8: XML         XBRL Instance -- ntrs-20210420_htm                   XML     27K 
10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- ntrs-20210420_cal               XML      7K 
 5: EX-101.DEF  XBRL Definitions -- ntrs-20210420_def                XML     40K 
 6: EX-101.LAB  XBRL Labels -- ntrs-20210420_lab                     XML     84K 
 7: EX-101.PRE  XBRL Presentations -- ntrs-20210420_pre              XML     41K 
 3: EX-101.SCH  XBRL Schema -- ntrs-20210420                         XSD     13K 
12: JSON        XBRL Instance as JSON Data -- MetaLinks               14±    21K 
13: ZIP         XBRL Zipped Folder -- 0000073124-21-000145-xbrl      Zip     46K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

iX: C: C:

ntrs-20210420

i 0000073124 i false00000731242021-04-202021-04-200000073124us-gaap:CommonStockMember2021-04-202021-04-200000073124ntrs:DepositarySharesMember2021-04-202021-04-20

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549


FORM			i 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) i April 20, 2021

i NORTHERN TRUST CORPORATION

(Exact name of registrant as specified in its charter)

i Delaware

i 001-36609

i 36-2723087

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

i 50 South LaSalle Street

i 60603

i Chicago,

i Illinois

(Zip Code)

(Address of principal executive offices)

Registrant’s telephone number, including area code ( i 312) i 630-6000

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


i ☐			Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
i ☐			Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
i ☐			Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
i ☐			Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class	Trading Symbol	Name of each exchange on which registered
i Common Stock, $1.66 2/3 Par Value	i NTRS	i The NASDAQ Stock Market LLC
i Depositary Shares, each representing 1/1,000th interest in a share of Series E Non-Cumulative Perpetual Preferred Stock	i NTRSO	i The NASDAQ Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 2.02. Results of Operations and Financial Condition

The information contained in the registrant’s April 20, 2021 press release, reporting on the registrant’s earnings for the three months ended March 31, 2021, a copy of which is attached as Exhibit 99.1 hereto, is incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits:


			Exhibit Number			Description
			99.1			April 20, 2021 Press Release
			104			The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

NORTHERN TRUST CORPORATION

(Registrant)

Dated:

April 20, 2021

By:

/s/ Jason J. Tyler

Jason J. Tyler

Executive Vice President and Chief Financial Officer