NORTHERN TRUST CORP Form 13F-HR Filed 2021-08-13
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SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR Initial quarterly Form 13F holdings report filed by institutional managers Filing Date: 2021-08-13 | Period of Report: 2021-06-30 SEC Accession No. 0001256484-21-000020 (HTML Version on secdatabase.com) FILER NORTHERN TRUST CORP Mailing Address Business Address 50 S LASALLE ST 50 S LASALLE ST CIK:73124| IRS No.: 362723087 | State of Incorp.:DE | Fiscal Year End: 1231 CHICAGO IL 60603 CHICAGO IL 60603 Type: 13F-HR | Act: 34 | File No.: 028-00290 | Film No.: 211173371 3126306000 SIC: 6022 State commercial banks Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE OMB Number: 3235-0006 COMMISSION Expires: July 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response: 23.8 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06-30-2021 Check here if Amendment: ☐ Amendment Number: This Amendment (Check only one.): ☐ is a restatement. ☐ adds new holdings entries. Institutional Investment Manager Filing this Report: Name: NORTHERN TRUST CORP Address: 50 S LASALLE ST CHICAGO, IL 60603 Form 13F File Number: 028-00290 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: James D. McDonald Title: Executive Vice President Phone: (312) 630-6000 Signature, Place, and Date of Signing: James D. McDonald Chicago, ILLINOIS 08-11-2021 [Signature] [City, State] [Date] Report Type (Check only one.): ☐ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ☐ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ☒ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager [If there are no entries in this list, omit this section.] Form 13F File Number Name CIK 028-15333 KELLOGG W K FOUNDATION TRUST 0001197921 028-12638 Interactive Financial Advisors 0001419099 028-14423 First Sentier Investors (Australia) IM Ltd 0001513216 028-13243 MAR VISTA INVESTMENT PARTNERS LLC 0001419999 028-10469 LAZARD ASSET MANAGEMENT LLC 0001207017 028-11728 CAUSEWAY CAPITAL MANAGEMENT LLC 0001165797 028-04557 WELLINGTON MANAGEMENT GROUP LLP 0000902219 028-16442 Strategic Global Advisors, LLC 0001580212 028-14260 Ashmore Group plc 0001512135 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 028-17488 Maple-Brown Abbott Ltd 0001681596 028-07104 WCM INVESTMENT MANAGEMENT, LLC 0001061186 028-11863 Westwood Global Investments, LLC 0001356513 028-06354 VICTORY CAPITAL MANAGEMENT INC 0001040188 028-17768 ARK Investment Management LLC 0001697748 028-02634 Aristotle Capital Management, LLC 0000860644 028-04003 ARIEL INVESTMENTS, LLC 0000936753 028-03687 POLEN CAPITAL MANAGEMENT LLC 0001034524 028-05615 AXIOM INVESTORS LLC /DE 0001109147 Form 13F Summary Page Report Summary: Number of Other Included Managers: 4 Form 13F Information table Entry Total: 17777 Form 13F Information table Value Total: 567697543 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name CIK 1 028-10495 NORTHERN TRUST CO 0000919972 8 028-10487 Northern Trust Investments, Inc 0001256909 9 028-10549 NORTHERN TRUST GLOBAL INVESTMENTS LTD 0001145619 10 028-18905 Belvedere Advisors LLC 0001755386 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0006 Washington, D.C. 20549 Expires: July 31, 2015 Estimated average burden FORM 13F hours per response: 23.8 FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE 1 800 FLOWERS COM INC COM 68243Q106 1,027 32,234 SH DFND 01 7,491 24,743 0 1 800 FLOWERS COM INC COM 68243Q106 8,320 261,058 SH DFND 01,08 2,933 258,125 0 1 800 FLOWERS COM INC COM 68243Q106 361 11,332 SH DFND 09 11,332 0 0 1 800 FLOWERS COM INC CL A 68243Q106 437 13,698 SH OTR 01,08 0 0 13,698 10X GENOMICS INC COM 88025U109 10,008 51,110 SH DFND 01 11,887 39,223 0 10X GENOMICS INC COM 88025U109 33 166 SH OTR 01 111 0 55 10X GENOMICS INC COM 88025U109 63,515 324,356 SH DFND 01,08 7,973 316,383 0 10X GENOMICS INC COM 88025U109 15,452 78,908 SH DFND 09 78,908 0 0 10X GENOMICS INC CL A COM 88025U109 4,525 23,109 SH OTR 01,08 0 0 23,109 111 INC COM 68247Q102 27 2,962 SH DFND 01 2,962 0 0 111 INC COM 68247Q102 1 148 SH OTR 01 148 0 0 111 INC COM 68247Q102 250 27,526 SH DFND 01,08 27,526 0 0 17 ED & TECHNOLOGY GROUP INC COM 81807M106 1 170 SH DFND 01 170 0 0 17 ED & TECHNOLOGY GROUP INC COM 81807M106 0 74 SH OTR 01 74 0 0 17 ED & TECHNOLOGY GROUP INC COM 81807M106 152 41,606 SH DFND 01,08 41,606 0 0 180 LIFE SCIENCES CORP COM 68236V104 291 29,068 SH DFND 01,08 0 29,068 0 1847 GOEDEKER INC COM 28252C109 701 182,158 SH DFND 01,08 0 182,158 0 1847 GOEDEKER INC COM 28252C109 84 21,703 SH OTR 01,08 0 0 21,703 1LIFE HEALTHCARE INC COM 68269G107 3,866 116,936 SH DFND 01 27,063 89,873 0 1LIFE HEALTHCARE INC COM 68269G107 1 25 SH OTR 01 25 0 0 1LIFE HEALTHCARE INC COM 68269G107 33,497 1,013,228 SH DFND 01,08 9,770 1,003,458 0 1LIFE HEALTHCARE INC COM 68269G107 605 18,305 SH DFND 09 18,305 0 0 1LIFE HEALTHCARE INC COM 68269G107 956 28,928 SH OTR 01,08 0 0 28,928 1ST CONSTITUTION BANCORP COM 31986N102 3 140 SH DFND 01 140 0 0 1ST CONSTITUTION BANCORP COM 31986N102 329 15,878 SH DFND 01,08 0 15,878 0 1ST SOURCE CORP COM 336901103 1,731 37,256 SH DFND 01 2,460 34,796 0 1ST SOURCE CORP COM 336901103 7,632 164,268 SH DFND 01,08 2,867 161,401 0 1ST SOURCE CORP COM 336901103 316 6,795 SH DFND 09 6,795 0 0 1ST SOURCE CORP COM 336901103 247 5,318 SH OTR 01,08 0 0 5,318 1STDIBS COM INC COM 320551104 274 7,884 SH OTR 01,08 0 0 7,884 21VIANET GROUP INC COM 90138A103 1,730 75,380 SH DFND 01 62,105 13,275 0 21VIANET GROUP INC COM 90138A103 122 5,304 SH OTR 01 5,120 184 0 21VIANET GROUP INC COM 90138A103 4,758 207,342 SH DFND 01,08 207,342 0 0 21VIANET GROUP INC COM 90138A103 3,496 152,322 SH DFND 09 152,322 0 0 22ND CENTY GROUP INC COM 90137F103 581 125,538 SH DFND 01 34,480 91,058 0 22ND CENTY GROUP INC COM 90137F103 2 329 SH OTR 01 329 0 0 22ND CENTY GROUP INC COM 90137F103 6,229 1,345,291 SH DFND 01,08 6,829 1,338,462 0 22ND CENTY GROUP INC COM 90137F103 158 34,215 SH OTR 01,08 0 0 34,215 2U INC COM 90214J101 9,509 228,199 SH DFND 01 164,871 61,875 1,453 2U INC COM 90214J101 2,028 48,665 SH OTR 01 16,887 31,600 178 2U INC COM 90214J101 28,428 682,226 SH DFND 01,08 10,909 671,317 0 2U INC COM 90214J101 731 17,532 SH DFND 09 17,532 0 0 2U INC COM 90214J101 40 948 SH OTR 01,08 0 0 948 2U INC COM 90214J101 653 15,660 SH OTR 01,08 0 0 15,660 360 DIGITECH INC COM 88557W101 731 17,474 SH DFND 01 5,185 12,289 0 360 DIGITECH INC COM 88557W101 12 283 SH OTR 01 283 0 0 360 DIGITECH INC COM 88557W101 8,518 203,584 SH DFND 01,08 203,584 0 0 360 DIGITECH INC COM 88557W101 6,001 143,417 SH DFND 09 143,417 0 0 3-D SYS CORP DEL COM 88554D205 5,849 146,341 SH DFND 01 33,858 111,660 823 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 3-D SYS CORP DEL COM 88554D205 165 4,129 SH OTR 01 3,334 795 0 3-D SYS CORP DEL COM 88554D205 50,251 1,257,225 SH DFND 01,08 19,227 1,237,998 0 3-D SYS CORP DEL COM 88554D205 1,216 30,429 SH DFND 09 30,429 0 0 3-D SYS CORP DEL COM NEW 88554D205 1,052 26,319 SH OTR 01,08 0 0 26,319 3M CO COM 88579Y101 315,954 1,590,668 SH DFND 01 981,113 600,444 9,111 3M CO COM 88579Y101 64,518 324,816 SH OTR 01 258,306 52,410 14,100 3M CO COM 88579Y101 785,260 3,953,379 SH DFND 01,08 243,850 3,709,529 0 3M CO COM 88579Y101 205,825 1,036,225 SH DFND 09 1,036,225 0 0 3M CO COM 88579Y101 125 627 SH OTR 01,08 74 0 553 3M CO COM 88579Y101 24,233 122,003 SH OTR 01,08 0 0 122,003 4D MOLECULAR THERAPEUTICS IN COM 35104E100 179 7,414 SH DFND 01 1,225 6,189 0 4D MOLECULAR THERAPEUTICS IN COM 35104E100 2,031 84,331 SH DFND 01,08 429 83,902 0 4D MOLECULAR THERAPEUTICS IN COM 35104E100 28 1,154 SH DFND 09 1,154 0 0 4D MOLECULAR THERAPEUTICS IN COM 35104E100 136 5,629 SH OTR 01,08 0 0 5,629 51JOB INC COM 316827104 931 11,971 SH DFND 01 3,406 8,565 0 51JOB INC COM 316827104 12 160 SH OTR 01 127 33 0 51JOB INC COM 316827104 27,655 355,601 SH DFND 01,08 355,601 0 0 51JOB INC COM 316827104 4,304 55,343 SH DFND 09 55,343 0 0 89BIO INC COM 282559103 476 25,444 SH DFND 01 12,609 12,835 0 89BIO INC COM 282559103 1,716 91,748 SH DFND 01,08 425 91,323 0 89BIO INC COM 282559103 79 4,222 SH OTR