SEC Form 4 · accession 0001225208-16-038101
NORTHROP GRUMMAN CORP /DE/ · NOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Caylor
Officer — Corp VP & Pres ES & CSO
Period of report
Aug 15, 2016
Accepted (ET)
Aug 18, 2016 · 2:42 pm EDT
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 | Aug 15, 2016 | S | 5,466 | $218.27 | D | 20,079 | D | |
| Common StockF2 | holding | — | — | — | 34 | I | Held in Northrop Grumman Savings & Investment Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the weighted average sale price of $218.27 rounded to the nearest hundredth. The highest price at which the shares were sold was $218.69 and the lowest price at which the shares were sold was $217.84. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote in this Form 4.
- F2Held in the Northrop Grumman Savings and Investment Plan (the "Plan"), a qualified profit sharing plan, as of August 15, 2016. Share totals with respect to the Plan are based upon unit accounting and therefore may reflect a decrease in units attributable to an individual though no disposition occurred.