SEC Form 4 · accession 0001225208-17-010107
NORTHROP GRUMMAN CORP /DE/ · NOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vic Fazio
Director
Period of report
May 17, 2017
Accepted (ET)
May 19, 2017 · 3:32 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,F2 | May 17, 2017 | J | 609 | $246.32 | A | 38,398 | 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 pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.
- F2Amount includes (i) 18,314 shares of common stock (including 1,087 shares acquired under the Issuer's Dividend Reinvestment Plan through transaction date 03/22/17, which transactions are exempted from Section 16 and not reportable under rule 16a-11); and (ii) 20,084 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.