SEC Form 4/A · accession 0001140361-17-005417
Northrop Grumman Innovation Systems, Inc. · OA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert M Hanisee
Director
Period of report
May 4, 2016
Accepted (ET)
Feb 9, 2017 · 4:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000866121
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F3,F2 | — | May 4, 2016 | A | 1,102 | A | — | — | Common Stock | 1,102 | 1,740 | D |
Explanation of responses
- F1The Phantom Stock is represented by share units accrued under the Issuer's Deferred Fee Plan for Non-Employee Directors that are to be settled 100% in cash in annual installments starting on the first business day of the year after the reporting person ceases to be a director of the Issuer.
- F21-for-1 (each Phantom Stock Unit is the economic equivalent of one share of Common Stock).
- F3This amended Form 4 report increases the number of Phantom Stock Units acquired and the number of Phantom Stock Units beneficially owned as of 5/4/2016 immediately following the reported transaction. After the reporting person's original Form 4 was filed to report this transaction, three Forms 4 were filed to report his quarterly acquisition of additional Phantom Stock Units through the deemed reinvestment of dividend equivalents credited to his account under the Issuer's Deferred Fee Plan for Non-Employee Directors. Reflecting the increased number of Phantom Stock Units reported in this amended Form 4 and the subsequent deemed reinvestment of dividend equivalents, the reporting person beneficially owns 1,759 Phantom Stock Units as of the filing date of this amended Form 4.