SEC Form 4 · accession 0001140361-15-044859
Northrop Grumman Innovation Systems, Inc. · OA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W Thompson
Officer — President and CEO · Director
Period of report
May 13, 2015
Accepted (ET)
Dec 17, 2015 · 12:46 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 | May 13, 2015 | G | 200 | $0.00 | D | 6,022 | I | By Trust |
| Common Stock | Aug 13, 2015 | G | 300 | $0.00 | D | 5,722 | I | By Trust |
| Common Stock | Sep 3, 2015 | G | 100 | $0.00 | D | 5,622 | I | By Trust |
| Common Stock | Oct 7, 2015 | G | 500 | $0.00 | D | 5,122 | I | By Trust |
| Common Stock | Oct 28, 2015 | G | 200 | $0.00 | D | 4,922 | I | By Trust |
| Common Stock | Nov 17, 2015 | G | 2,000 | $0.00 | D | 98,860 | D | |
| Common Stock | holding | — | — | — | 10,147 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 2,307 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This total reflects previously-reported gifts of 500 shares on 4/14/2015, 400 shares on 5/22/2015 and 150 shares on 6/24/2015. After those gifts were reported, the reporting person filed an amendment to a Form 4 dated 2/9/2015 to clarify that 7,272 shares previously included in his direct ownership total were actually indirectly beneficially owned by him through his trust. Those three previously-reported gifts were made from the trust and not the reporting person's directly-owned shares.
- F2Based on a plan statement dated September 30, 2015.