NTRS 10-K Annual Report Dec. 31, 2019 | Alphaminr

NTRS 10-K Fiscal year ended Dec. 31, 2019

NORTHERN TRUST CORP
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TABLE OF CONTENTS
Part IItem 1 BusinessNote 12, "deposits," (item 8) Provides The Remaining Maturity Of Time Deposits $100,000 Or More As OfNote 1, Summary Of Significant Accounting Policies :Note 6, Loans and LeasesNote 7, Allowance For Credit LossesNote 8, Concentrations Of Credit RiskNote 29, Off-balance-sheet Financial Instruments, Guarantees and Other CommitmentsItem 1A - Risk FactorsItem 1B Unresolved Staff CommentsItem 2 PropertiesItem 3 Legal ProceedingsItem 4 Mine Safety DisclosuresPart IIItem 5 Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6 Selected Financial DataItem 7 Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A Quantitative and Qualitative Disclosures About Market RiskItem 8 Financial Statements and Supplementary DataNote 1 Summary Of Significant Accounting PoliciesNote 2 Recent Accounting PronouncementsNote 3 Fair Value MeasurementsNote 4 SecuritiesNote 5 Securities Purchased Under Agreements To Resell and Securities Sold Under Agreements To RepurchaseNote 6 Loans and LeasesNote 7 Allowance For Credit LossesNote 8 Concentrations Of Credit RiskNote 9 Buildings and EquipmentNote 10 Lease CommitmentsNote 11 Goodwill and Other IntangiblesNote 12 DepositsNote 13 Senior Notes and Long-term DebtNote 14 Floating Rate Capital DebtNote 15 Stockholders EquityNote 16 Accumulated Other Comprehensive Income (loss)Note 17 Net Income Per Common ShareNote 18 Revenue From Contracts with ClientsNote 19 Net Interest IncomeNote 20 Other Operating IncomeNote 21 Other Operating ExpenseNote 22 Income TaxesNote 23 Employee BenefitsNote 24 Share-based Compensation PlansNote 25 Cash-based Compensation PlansNote 26 Contingent LiabilitiesNote 27 Derivative Financial InstrumentsNote 28 Offsetting Of Assets and LiabilitiesNote 29 Off-balance-sheet Financial Instruments, Guarantees and Other CommitmentsNote 30 Variable Interest EntitiesNote 31 Pledged and Restricted AssetsNote 32 Restrictions on Subsidiary Dividends and Loans Or AdvancesNote 33 Reporting Segments and Related InformationNote 34 Regulatory Capital RequirementsNote 35 Northern Trust Corporation (corporation Only)Item 9 Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A Controls and ProceduresItem 9B Other InformationPart IIIItem 10 Directors, Executive Officers and Corporate GovernanceItem 11 Executive CompensationItem 12 Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13 Certain Relationships and Related Transactions, and Director IndependenceItem 14 Principal Accountant Fees and ServicesPart IVItem 15 Exhibits and Financial Statement SchedulesItem 15(a)(3) ExhibitsItem 16 Form 10-k Summary

Exhibits

(i)** Form of Director Stock Unit Agreement (incorporated herein by reference to Exhibit 10.10 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2017). (ii)** Form of Director Stock Unit Agreement (prorated) (incorporated herein by reference to Exhibit 10.11 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2017). (iii)** Form of 2018 Performance Stock Unit Award Terms and Conditions (incorporated herein by reference to Exhibit 10.3 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2018). (iv)** Form of 2019 Performance Stock Unit Award Terms and Conditions (incorporated herein by reference to Exhibit 10.1 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2019). (v)** Form of 2018 Stock Unit Award Terms and Conditions (incorporated herein by reference to Exhibit 10.4 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2018). (vi)** Form of 2019 Stock Unit Award Terms and Conditions (incorporated herein by reference to Exhibit 10.2 to the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2019). 10.18** Northern Trust Corporation Executive Financial Consulting and Tax Preparation Services Plan, as amended and restated effective January 1, 2008 (which, effective October 1, 2018, was renamed the Northern Trust Corporation Wealth Planning and Tax Consulting Services Plan) (incorporated herein by reference to Exhibit 10 (xxxiii) to the Corporations Annual Report on Form 10-K for the fiscal year ended December 31, 2007). (i)** First Amendment, dated and effective October 3, 2017. (ii)** Second Amendment, dated September 27, 2019 and effective October 1, 2018. 10.19** Northern Trust Corporation Non-Employee Director Compensation Plan. 10.20** Northern Partners Incentive Plan, as amended and restated on January 6, 2020. 10.21** Letter Agreement with Frederick H. Waddell, dated January 23, 2019 (incorporated herein by reference to Exhibit 10.26 to the Corporations Annual Report on Form 10-K for the year ended December 31, 2018). 10.22** The Northern Trust Company Death Benefit Plan (incorporated herein by reference to Exhibit 10.1 to the Corporations Quarterly Report on Form 10-Q for the quarter ended June 30, 2019). 21 Subsidiaries of the Registrant. 23 Consent of Independent Registered Public Accounting Firm. 31.1 Rule 13a-14(a)/15d-14(a) Certification of CEO Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Rule 13a-14(a)/15d-14(a) Certification of CFO Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32 Certifications of CEO and CFO Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.