SEC Form 4 · accession 0001140361-15-043843
Northrop Grumman Innovation Systems, Inc. · OA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G Roche
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 7, 2015 · 7:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000866121
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 4, 2015 | M | 2,245 | $28.91 | A | 3,288 | D | |
| Common StockF1 | Dec 4, 2015 | F | 750 | $86.58 | D | 2,538 | D | |
| Common Stock | holding | — | — | — | 11,606 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy) | $28.91 | Dec 4, 2015 | M | 2,245 | D | Jan 3, 2007 | Jan 3, 2016 | Common Stock | 2,245 | 0 | D |
Explanation of responses
- F11,043 of these shares are subject to certain restrictions (including possible forfeiture) applicable to restricted stock awards under the Issuer's 2015 Stock Incentive Plan.
- F2Shares withheld by the Issuer to satisfy exercise price.