SEC Form 4 · accession 0001225208-15-020449
NORTHROP GRUMMAN CORP /DE/ · NOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy J Warden
Officer — Corp VP & Pres Info Syst
Period of report
Nov 4, 2015
Accepted (ET)
Nov 5, 2015 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001133421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 4, 2015 | M | 4,697 | $41.14 | A | 36,677 | D | |
| Common StockF1 | Nov 4, 2015 | S | 4,697 | $187.036 | D | 31,980 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right-to-buy)F1,F2 | $41.14 | Nov 4, 2015 | M | 4,697 | D | — | Feb 17, 2016 | Common Stock | 4,697 | 0 | D |
Explanation of responses
- F1The exercise and sales reported in this Form 4 were effected pursuant to an orderly plan of disposition under a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The option is fully exercisable.