NTRS 10-K Annual Report Dec. 31, 2020

NORTHERN TRUST CORP

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TABLE OF CONTENTS

Part I Item 1 Business Item 1A - Risk Factors Item 1B Unresolved Staff Comments Item 2 Properties Item 3 Legal Proceedings Item 4 Mine Safety Disclosures Part II Item 5 Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity Securities Item 6 Selected Financial Data Item 7 Management S Discussion and Analysis Of Financial Condition and Results Of Operations Item 7A Quantitative and Qualitative Disclosures About Market Risk Item 8 Financial Statements and Supplementary Data Note 1 Summary Of Significant Accounting Policies Note 2 Recent Accounting Pronouncements Note 3 Fair Value Measurements Note 4 Securities Note 5 Securities Purchased Under Agreements To Resell and Securities Sold Under Agreements To Repurchase Note 6 Loans and Leases Note 7 Allowance For Credit Losses Note 8 Concentrations Of Credit Risk Note 9 Buildings and Equipment Note 10 Lease Commitments Note 11 Goodwill and Other Intangibles Note 12 Deposits Note 13 Senior Notes and Long-term Debt Note 14 Floating Rate Capital Debt Note 15 Stockholders Equity Note 16 Accumulated Other Comprehensive Income (loss)Note 17 Net Income Per Common Share Note 18 Revenue From Contracts with Clients Note 19 Net Interest Income Note 20 Other Operating Income Note 21 Other Operating Expense Note 22 Income Taxes Note 23 Employee Benefits Note 24 Share-based Compensation Plans Note 25 Cash-based Compensation Plans Note 26 Commitments and Contingent Liabilities Note 27 Derivative Financial Instruments Note 28 Offsetting Of Assets and Liabilities Note 29 Variable Interest Entities Note 30 Pledged and Restricted Assets Note 31 Restrictions on Subsidiary Dividends and Loans Or Advances Note 32 Reporting Segments and Related Information Note 33 Regulatory Capital Requirements Note 34 Northern Trust Corporation (corporation Only)Item 9 Changes in and Disagreements with Accountants on Accounting and Financial Disclosure Item 9A Controls and Procedures Item 9B Other Information Part III Item 10 Directors, Executive Officers and Corporate Governance Item 11 Executive Compensation Item 12 Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder Matters Item 13 Certain Relationships and Related Transactions, and Director Independence Item 14 Principal Accountant Fees and Services Part IV Item 15 Exhibits and Financial Statement Schedules Item 15(a)(3) Exhibits Item 16 Form 10-k Summary

Exhibits

10.16** 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(incorporated herein by reference to Exhibit 10.18(i)to the Corporations Annual Report on Form 10-K for the year ended December 31, 2019). (ii)** Second Amendment, dated September 27, 2019 and effective October 1, 2018(incorporated herein by reference to Exhibit 10.18(ii)to the Corporations Annual Report on Form 10-K for the year ended December 31, 2019). 10.17** Northern Trust Corporation Non-Employee Director Compensation Plan, as amended. 10.18** Northern Partners Incentive Plan, as amended and restated onFebruary16, 2021. 10.19** 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). 10.20** 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). (i) Amendment Number One to The Northern Trust Company Death Benefit Plan, dated July 11, 2019 and effective May 17, 2019. (ii) Amendment Number Two to The Northern Trust Company Death Benefit Plan, dated July 29, 2019 and effective May 17, 2019. (iii) Amendment Number Three to The Northern Trust Company Death Benefit Plan, dated March 18, 2020 and effective May 17, 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.

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NTRS 10-K Fiscal year ended Dec. 31, 2020

Exhibits