SEC Form 4 · accession 0001225208-16-023616
NORTHROP GRUMMAN CORP /DE/ · NOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vic Fazio
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 6:41 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 StockF2,F3 | Dec 31, 2015 | J | 258 | $188.81 | A | 36,349 | D | |
| Common StockF5,F6 | Jan 1, 2016 | J | 282 | $188.81 | A | 36,631 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock deferred into a stock unit account, including dividends, pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.
- F2The amount represents a one-time transition grant of stock units pursuant to the Company's Northrop Grumman 2011 Long-Term Incentive Stock Plan, as amended and restated effective January 1, 2016.
- F3Amount includes (i) 17,403 shares of common stock (including 987.42 shares acquired under the Issuer's Dividend Reinvestment Plan through transaction date 12/31/15, which transactions are exempted from Section 16 and not reportable under rule 16a-11); and (ii) 18,946 shares of common stock held in a stock unit acount pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan and the 1993 Stock Plan for Non-Employee Directors.
- F4Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.
- F5The amount represents a one-time transition grant of stock units pursuant to the Company's Equity Grant Program for Non-Employee Directors under the Northrop Grumman 2011 Long-Term Incentive Stock Plan, as amended and restated effective January 1, 2016.
- F6Amount includes (i) 17,403 shares of common stock (including 987.42 shares acquired under the Issuer's Dividend Reinvestment Plan through transaction date 1/1/16, which transactions are exempted from Section 16 and not reportable under Rule 16a-11); and (ii) 19,228 shares of common stock held in a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan and the 1993 Stock Plan for Non-Employee Directors.