SEC Form 4 · accession 0001225208-19-004814
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
Mar 4, 2019
Accepted (ET)
Mar 6, 2019 · 5:24 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 | Mar 4, 2019 | S | 100 | $286.75 | D | 25,280 | D | |
| Common StockF1 | Mar 4, 2019 | S | 100 | $285.96 | D | 25,180 | D | |
| Common StockF1,F2 | Mar 4, 2019 | S | 400 | $287.40 | D | 24,780 | D | |
| Common StockF1,F3 | Mar 4, 2019 | S | 516 | $289.43 | D | 24,264 | D | |
| Common StockF1,F4 | Mar 4, 2019 | S | 881 | $282.64 | D | 23,383 | D | |
| Common StockF1,F5 | Mar 4, 2019 | S | 1,826 | $284.28 | D | 21,557 | D | |
| Common StockF1,F6 | Mar 4, 2019 | S | 2,443 | $288.65 | D | 19,114 | D | |
| Common StockF1,F7 | Mar 4, 2019 | S | 3,235 | $283.54 | D | 15,879 | D | |
| Common StockF8 | holding | — | — | — | 35 | I | Held in Northrop Grumman Savings & Investment Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Represents the weighted average sale price of $287.40 rounded to the nearest hundredth. The highest price at which the shares were sold was $287.905 and the lowest price at which the shares were sold was $287.06. 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.
- F3Represents the weighted average sale price of $289.43 rounded to the nearest hundredth. The highest price at which the shares were sold was $289.805 and the lowest price at which the shares were sold was $289.10. 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.
- F4Represents the weighted average sale price of $282.64 rounded to the nearest hundredth. The highest price at which the shares were sold was $282.97 and the lowest price at which the shares were sold was $282.24. 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.
- F5Represents the weighted average sale price of $284.28 rounded to the nearest hundredth. The highest price at which the shares were sold was $284.67 and the lowest price at which the shares were sold was $284.00. 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.
- F6Represents the weighted average sale price of $288.65 rounded to the nearest hundredth. The highest price at which the shares were sold was $288.98 and the lowest price at which the shares were sold was $288.04. 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.
- F7Represents the weighted average sale price of $283.54 rounded to the nearest hundredth. The highest price at which the shares were sold was $283.98 and the lowest price at which the shares were sold was $283.08. 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.
- F8Held in the Northrop Grumman Savings and Investment Plan (the "Plan"), a qualified profit sharing plan, as of March 4, 2019. Share totals with respect to the Plan are based upon unit accounting and therefore may reflect a change in units attributable to an individual though no acquisition or disposition occurred.