SEC Form 4 · accession 0001140361-18-024497
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 17, 2018
Accepted (ET)
May 17, 2018 · 5:57 pm EDT
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 4, 2018 | G | 1,500 | $0.00 | D | 91,739 | D | |
| Common Stock | holding | — | — | — | 10,147 | I | By Spouse | |
| Common Stock | holding | — | — | — | 2,385 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F3 | — | May 17, 2018 | A | 19 | A | — | — | Common Stock | 19 | 7,805 | D |
Explanation of responses
- F119,572 of these shares are subject to certain restrictions including possible forfeiture under the Orbital ATK, Inc. 2015 Stock Incentive Plan.
- F2These securities were acquired through the deemed reinvestment of dividend equivalents in the form of additional Deferred Stock Units credited to the reporting person's account under the Issuer's Nonqualified Deferred Compensation Plan. The Deferred Stock Units will be settled following the reporting person's termination of employment.
- F31-for-1.