SEC Form 4 · accession 0001225208-18-016312
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, Mission System
Period of report
Dec 4, 2018
Accepted (ET)
Dec 6, 2018 · 5:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001133421
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock RightsF2,F1 | — | Dec 4, 2018 | A | 1,655 | A | — | — | Common Stock | 1,655 | 12,125 | D |
Explanation of responses
- F1Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.
- F2Total amount includes 4,120 unvested RSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 that will vest on 2/17/19; 3,189 unvested RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 3,161 unvested RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 1,655 unvested RSRs granted under the LTISP on 12/04/18 that will vest on 12/04/21. Grants awarded pursuant to Rule 16b-3(d).