Statement of Changes in Beneficial Ownership (4)
22 Septembre 2021 - 8:18PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Warden Kathy J |
2. Issuer Name and Ticker or Trading Symbol
NORTHROP GRUMMAN CORP /DE/
[
NOC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, CEO and President |
(Last)
(First)
(Middle)
2980 FAIRVIEW PARK DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/20/2021 |
(Street)
FALLS CHURCH, VA 22042
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/20/2021 (1) | | M | | 4943 (2) | A | $0 | 118068.29 | D | |
Common Stock | 9/20/2021 (1) | | F | | 2230 | D | $348.81 | 115838.29 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Rights | (3) | 9/20/2021 | | M | | | 4943 (2) | (3) | (2) | Common Stock | 4943.0 | $0 | 40456 | D | |
Explanation of Responses: |
(1) | In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (September 19, 2021) fell on a weekend, the award shares vested on September 20, 2021, the next business day. The vested award shares were valued based on the Company's closing stock price on September 20, 2021. The shares will be distributed into the participant's account on September 21, 2021. |
(2) | Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 9/19/2018 that vested on 9/20/2021. |
(3) | Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Warden Kathy J 2980 FAIRVIEW PARK DRIVE FALLS CHURCH, VA 22042 | X |
| Chairman, CEO and President |
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Signatures
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/s/ Jennifer C. McGarey, Attorney-in-Fact | | 9/22/2021 |
**Signature of Reporting Person | Date |
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