NTRS 10-K Annual Report Dec. 31, 2022

NORTHERN TRUST CORP

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TABLE OF CONTENTS

Part Iprint Item 1 Businessprint Item 1A - Risk Factorsprint Item 1B Unresolved Staff Commentsprint Item 2 Propertiesprint Item 3 Legal Proceedingsprint Item 4 Mine Safety Disclosuresprint Part IIprint Item 5 Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity Securitiesprint Item 6 [reserved]print Item 7 Management S Discussion and Analysis Of Financial Condition and Results Of Operationsprint Item 7A Quantitative and Qualitative Disclosures About Market Riskprint Item 8 Financial Statements and Supplementary Dataprint Note 1 Summary Of Significant Accounting Policiesprint Note 2 Recent Accounting Pronouncementsprint Note 3 Fair Value Measurementsprint Note 4 Securitiesprint Note 5 Securities Purchased Under Agreements To Resell and Securities Sold Under Agreements To Repurchaseprint Note 6 Loans and Leasesprint Note 7 Allowance For Credit Lossesprint Note 8 Concentrations Of Credit Riskprint Note 9 Buildings and Equipmentprint Note 10 Lease Commitmentsprint Note 11 Goodwill and Other Intangiblesprint Note 12 Depositsprint Note 13 Senior Notes and Long-term Debtprint Note 14 Stockholders Equityprint Note 15 Accumulated Other Comprehensive Income (loss)print Note 16 Net Income Per Common Shareprint Note 17 Revenue From Contracts with Clientsprint Note 18 Net Interest Incomeprint Note 19 Other Operating Incomeprint Note 20 Other Operating Expenseprint Note 21 Income Taxesprint Note 22 Employee Benefitsprint Note 23 Share-based Compensation Plansprint Note 24 Cash-based Compensation Plansprint Note 25 Commitments and Contingent Liabilitiesprint Note 26 Derivative Financial Instrumentsprint Note 27 Offsetting Of Assets and Liabilitiesprint Note 28 Variable Interest Entitiesprint Note 29 Pledged and Restricted Assetsprint Note 30 Restrictions on Subsidiary Dividends and Loans Or Advancesprint Note 31 Reporting Segments and Related Informationprint Note 32 Regulatory Capital Requirementsprint Note 33 Northern Trust Corporation (corporation Only)print Note 34 Subsequent Eventprint Item 9 Changes in and Disagreements with Accountants on Accounting and Financial Disclosureprint Item 9A Controls and Proceduresprint Item 9B Other Informationprint Item 9C Disclosure Regarding Foreign Jurisdictions That Prevent Inspectionsprint Part IIIprint Item 10 Directors, Executive Officers and Corporate Governanceprint Item 11 Executive Compensationprint Item 12 Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder Mattersprint Item 13 Certain Relationships and Related Transactions, and Director Independenceprint Item 14 Principal Accountant Fees and Servicesprint Part IVprint Item 15 Exhibits and Financial Statement Schedulesprint Item 15(a)(3) Exhibitsprint Item 16 Form 10-k Summaryprint

Exhibits

10.18** 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). 10.19** 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 (incorporated herein by reference to Exhibit 10.20(i) to the Corporations Annual Report on Form 10-K for the year ended December 31, 2020). (ii)** Amendment Number Two to The Northern Trust Company Death Benefit Plan, dated July 29, 2019 and effective May 17, 2019 (incorporated herein by reference to Exhibit 10.20(ii) to the Corporations Annual Report on Form 10-K for the year ended December 31, 2020). (iii)** Amendment Number Three to The Northern Trust Company Death Benefit Plan, dated March 18, 2020 and effective May 17, 2019 (incorporated herein by reference to Exhibit 10.20(iii) to the Corporations Annual Report on Form 10-K for the year ended December 31, 2020). (iv)** Amendment Number Four to The Northern Trust Company Death Benefit Plan, datedJune22, 2022 and effectiveMay4, 2022. 10.20 Transition Agreement by and between Northern Trust Corporation and Shundrawn A. Thomas, dated as of May 3, 2022 (incorporated herein by reference to Exhibit 10.1 to the Corporations Current Report on Form 8-K filed May 3, 2022). 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, 2022

Exhibits