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NORTHROP GRUMMAN CORP /DE/ — Director's Dealing 2021
Feb 19, 2021
29899_dirs_2021-02-18_aefafc9d-01e3-46b7-9ae1-f74326f6aa4f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORTHROP GRUMMAN CORP /DE/ (NOC)
CIK: 0001133421
Period of Report: 2021-02-16
Reporting Person: Addison Ann M (Corp VP & Chief HR Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-16 | Common Stock | M | 2746.8000 | $0.0000 | Acquired | 5494.8000 | Direct |
| 2021-02-16 | Common Stock | F | 835.0000 | $0.0000 | Disposed | 4659.8000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-16 | Restricted Performance Stock Rights | $ | A | 4464.8000 | Acquired | Common Stock (4464.8000) | Direct | |
| 2021-02-16 | Restricted Performance Stock Rights | $ | M | 2746.8000 | Disposed | Common Stock (2746.8000) | Direct | |
| 2021-02-16 | Restricted Stock Rights | $ | A | 1970.0000 | Acquired | Common Stock (1970.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 137.6404 | Indirect |
Footnotes
F1: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e).
F2: Held in the Northrop Grumman Savings Plan (the Plan), a qualified defined contribution plan, as of February 16, 2021. Share totals with respect to the Plan are based upon unit accounting and therefore may reflect a change in units attributable to an individual though no acquisition or disposition occurred.
F3: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).
F4: Each Restricted Stock Right (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. The RSRs were granted under the LTISP on 2/16/21 and will vest on 2/16/24.