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Warden Kathy J

Disclosed activity across 2 companies

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10739
SEC CIK
0001559112

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Merck & Co., Inc.MRK · Entity 2807DirectorMay 29, 2026June 02, 2026
NORTHROP GRUMMAN CORP /DE/NOC · Entity 2963Director · Chair, CEO and PresidentAugust 19, 2026August 21, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Merck & Co., Inc.

Report date May 29, 2026 · Filed June 02, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Phantom StockSEC Table II · derivative / convertible securityDirect17,890.2917 Reported balance After 2026-05-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-05-29 · Grant · Acquired 1,853.0997 · Balance 17,890.2917

F1: 1-for-1

F2: Phantom stock units are to be settled 100% in cash upon reporting person's termination of service in accordance with a distribution schedule elected pursuant to the terms of the Plan for Deferred Payment of Directors' Compensation.

F3: Holdings include shares acquired in dividend reinvestment transactions.

Common StockSEC Table I · non-derivativeDirect500 Reported balance Holding disclosure · report date 2026-05-29 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 500

Filing footnotes · ownership attribution and instrument terms

F1: 1-for-1

F2: Phantom stock units are to be settled 100% in cash upon reporting person's termination of service in accordance with a distribution schedule elected pursuant to the terms of the Plan for Deferred Payment of Directors' Compensation.

F3: Holdings include shares acquired in dividend reinvestment transactions.

NORTHROP GRUMMAN CORP /DE/

Report date August 19, 2026 · Filed August 21, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Market Stock UnitsSEC Table II · derivative / convertible securityDirect35,910 Reported balance After 2026-08-19 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-08-19 · Grant · Acquired 35,910 · Balance 35,910

F1: Each Market Stock Unit ("MSU") represents the contingent right to receive, following vesting, between 0% and 150% of one share of the Issuer's common stock, subject to the Issuer's absolute stock price appreciation or depreciation over a performance period ending December 31, 2031. No portion of the MSUs will be earned if the Issuer's stock price depreciates by more than 25%, a 100% (or target) payout is earned if the Issuer's stock price appreciates by 10%, and a 150% payout is earned if the Issuer's stock price appreciates by 50% or more. The target number of MSUs is reported in this Report. Grant awarded pursuant to Rule 16b-3(d).

Filing footnotes · ownership attribution and instrument terms

F1: Each Market Stock Unit ("MSU") represents the contingent right to receive, following vesting, between 0% and 150% of one share of the Issuer's common stock, subject to the Issuer's absolute stock price appreciation or depreciation over a performance period ending December 31, 2031. No portion of the MSUs will be earned if the Issuer's stock price depreciates by more than 25%, a 100% (or target) payout is earned if the Issuer's stock price appreciates by 10%, and a 150% payout is earned if the Issuer's stock price appreciates by 50% or more. The target number of MSUs is reported in this Report. Grant awarded pursuant to Rule 16b-3(d).

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
February 13, 2019 Filed Feb 15, 2019 21:27 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Stock Rights · Derivative 14,227 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 5

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,918

Underlying: Common Stock · 14,227 shares

Expires not disclosed

F7 · derivative.exercise_price: 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 2/13/19 and will vest on 2/13/22.

F7 · derivative.exercise_date: 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 2/13/19 and will vest on 2/13/22.

F7 · derivative.expiration_date: 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 2/13/19 and will vest on 2/13/22.

F8 · balance_after: Total amount includes 14,227 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 4,943 RSRs granted under the LTISP on 9/19/18 that will vest on 9/19/21; 4,516 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Performance Stock Rights · Derivative 14,616.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 4

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,208

Underlying: Common Stock · 14,616.5 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F3 · derivative.exercise_date: 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).

F3 · derivative.expiration_date: 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).

F6 · balance_after: Total amount includes 33,572 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 13,016 RPSRs granted on 9/19/18 with a measurement period ending on 12/31/20; 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Performance Stock Rights · Derivative 35,478.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 3

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,824.5

Underlying: Common Stock · 35,478.5 shares

Expires not disclosed

F3 · derivative.exercise_price: 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 · shares: The RPSRs acquired include (i) 1,906.50 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 115% of the target award; and (ii) 33,572 unvested RPSRs granted under the LTISP on 2/13/19 with a measurement period ending on 12/31/21.

F3 · derivative.exercise_date: 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).

F3 · derivative.expiration_date: 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).

F5 · balance_after: Total amount includes 14,616.50 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 33,572 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 13,016 RPSRs granted on 9/19/18 with a measurement period ending on 12/31/20; 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 6,062 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,565.85

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 14,616.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,627.85

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

Read SEC document
September 19, 2018 Filed Sep 21, 2018 21:23 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Stock Rights · Derivative 4,943 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-013695 · doc4.xml · derivative · entry 2

Warden Kathy J · CIK 0001559112 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,691

Underlying: Common Stock · 4,943 shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

F4 · balance_after: Total amount includes (i) 5,767 unvested RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; (ii) 4,465 unvested RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; (iii) 4,516 unvested RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and (iv) 4,943 unvested RSRs granted under the LTISP on 2/19/18 that will vest on 9/19/21.

Read SEC document
September 19, 2018 Filed Sep 21, 2018 21:23 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Performance Stock Rights · Derivative 13,016 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-013695 · doc4.xml · derivative · entry 1

Warden Kathy J · CIK 0001559112 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,346

Underlying: Common Stock · 13,016 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F2 · balance_after: Total amount includes (i) 12,710 unvested RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a measurement period ending on 12/31/18; (ii) 10,676 unvested RPSRs granted under the LTISP on 2/17/17 with a measurement period ending on 12/31/19; (iii) 9,944 unvested RPSRs granted under the LTISP on 2/13/18 with a measurement period ending on 12/31/20; and (iv) 13,016 unvested RPSRs granted under the LTISP on 9/19/18 with a measurement period ending on 12/31/20.

Read SEC document
February 18, 2018 Filed Feb 22, 2018 22:25 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Stock Rights · Derivative 5,954 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003825 · doc4.xml · derivative · entry 3

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,748

Underlying: Common Stock · 5,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: 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.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/18/15 that vested on 2/18/18.

F4 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/18/15 that vested on 2/18/18.

F5 · balance_after: Total amount includes 4,516 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

Read SEC document
February 18, 2018 Filed Feb 22, 2018 22:25 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 2,686 $350.36 $941,066.96
Disclosure

SEC source: 0001225208-18-003825 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,002.35

F1 · date: In light of the vesting date, Sunday, February 18, 2018, and in accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), award shares were valued based on the Company's closing stock price on February 20, 2018, the following business day. The shares will be distributed into the participant's account on February 23, 2018.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 18, 2018 Filed Feb 22, 2018 22:25 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 5,954 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003825 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,688.35

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: In light of the vesting date, Sunday, February 18, 2018, and in accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), award shares were valued based on the Company's closing stock price on February 20, 2018, the following business day. The shares will be distributed into the participant's account on February 23, 2018.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/18/15 that vested on 2/18/18.

Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:39 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Stock Rights · Derivative 4,516 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003064 · doc4.xml · derivative · entry 5

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,702

Underlying: Common Stock · 4,516 shares

Expires not disclosed

F7 · derivative.exercise_price: 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 2/13/18 and will vest on 2/13/21.

F7 · derivative.exercise_date: 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 2/13/18 and will vest on 2/13/21.

F7 · derivative.expiration_date: 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 2/13/18 and will vest on 2/13/21.

F8 · balance_after: Total amount includes 4,516 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; and 5,954 RSRs granted under the LTISP on 2/18/15 that will vest on 2/18/18.

Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:39 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Performance Stock Rights · Derivative 18,939 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003064 · doc4.xml · derivative · entry 4

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,330

Underlying: Common Stock · 18,939 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/18/15 with a valuation of performance measurement period ("measurement period") that ended 12/31/17. RPSRs to be settled at 150% of target. The shares are anticipated to be distributed into the participant's account on February 22, 2018.

F3 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · balance_after: Total amount includes 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 12,710 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18.

Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:39 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Performance Stock Rights · Derivative 16,257 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003064 · doc4.xml · derivative · entry 3

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,269

Underlying: Common Stock · 16,257 shares

Expires not disclosed

F3 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · shares: The RPSRs acquired include (i) 6,313 vested RPSRs with respect to the measurement period ended 12/31/17 acquired due to settlement of the 2015 RPSRs held at 150% of the target award and (ii) 9,944 unvested RPSRs granted under the LTISP on 2/13/18 with a measurement period ending on 12/31/20.

F3 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · balance_after: Total amount includes 18,939 vested RPSRs granted under the LTISP on 2/18/15 with a measurement period ended on 12/31/17; 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 12,710 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18.

Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:39 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 8,542 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003064 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,734.35

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e).

Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:39 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 18,939 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-003064 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,276.35

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/18/15 with a valuation of performance measurement period ("measurement period") that ended 12/31/17. RPSRs to be settled at 150% of target. The shares are anticipated to be distributed into the participant's account on February 22, 2018.

Read SEC document
February 13, 2018 Filed Feb 26, 2018 23:09 UTC Amendment NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Performance Stock Rights · Derivative 18,939 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004231 · doc4a.xml · derivative · entry 3

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,330

Underlying: Common Stock · 18,939 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/18/15 with a valuation of performance measurement period ("measurement period") that ended 12/31/17. RPSRs to be settled at 150% of target. The shares are anticipated to be distributed into the participant's account on February 26, 2018.

F3 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · balance_after: Total amount includes 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 12,710 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18.

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February 13, 2018 Filed Feb 26, 2018 23:09 UTC Amendment NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 8,533 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004231 · doc4a.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,743.35

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e). Amendment filed to correct the number of shares surrendered.

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February 13, 2018 Filed Feb 26, 2018 23:09 UTC Amendment NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 18,939 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004231 · doc4a.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,276.35

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/18/15 with a valuation of performance measurement period ("measurement period") that ended 12/31/17. RPSRs to be settled at 150% of target. The shares are anticipated to be distributed into the participant's account on February 26, 2018.

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October 31, 2017 Filed Mar 8, 2019 21:53 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 SaleCommon Stock 67 $296.51 $19,866.17
Disclosure

SEC source: 0001225208-19-004964 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by mother

Disclosed balance after: 0

F1 · security: Owned by the Reporting Person's mother, who shared the Reporting Person's household on a temporary basis in 2017, during which time the securities were purchased and sold without the Reporting Person's knowledge. The Reporting Person disclaims beneficial ownership of the securities and this filing shall not be deemed to be an admission that the Reporting Person was the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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October 16, 2017 Filed Mar 8, 2019 21:53 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 PurchaseCommon Stock 67 $295.07 $19,769.69
Disclosure

SEC source: 0001225208-19-004964 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by mother

Disclosed balance after: 67

F1 · security: Owned by the Reporting Person's mother, who shared the Reporting Person's household on a temporary basis in 2017, during which time the securities were purchased and sold without the Reporting Person's knowledge. The Reporting Person disclaims beneficial ownership of the securities and this filing shall not be deemed to be an admission that the Reporting Person was the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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August 01, 2017 Filed Aug 2, 2017 20:47 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 SaleCommon Stock 9,292 $263.41 $2,447,605.72
Disclosure

SEC source: 0001225208-17-013189 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,337.35

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: Represents the weighted average sale price of $263.41 rounded to the nearest hundredth. The highest price at which the shares were sold was $264.00 and the lowest price at which the shares were sold was $263.25. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote in this Form 4.

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February 19, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Stock Rights · Derivative 7,560 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · derivative · entry 8

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,186

Underlying: Common Stock · 7,560 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · derivative.exercise_price: 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.

F3 · date: In light of the vesting date, Sunday, February 19, 2017, and in accordance with the terms of the 2011 LTISP, award shares were valued based on the Company's closing stock price on February 17, 2017, the immediately preceding business day. The shares were distributed into the participant's account on February 22, 2017.

F12 · derivative.exercise_date: 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.

F12 · derivative.expiration_date: 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.

F4 · derivative.underlying_shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/19/14 that vested on 2/19/17.

F13 · balance_after: Total amount includes 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; and 5,954 RSRs granted under the LTISP on 2/18/15 that will vest on 2/18/18.

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February 19, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 3,607 $243.58 $878,593.06
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · nonDerivative · entry 4

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,629.35

F3 · date: In light of the vesting date, Sunday, February 19, 2017, and in accordance with the terms of the 2011 LTISP, award shares were valued based on the Company's closing stock price on February 17, 2017, the immediately preceding business day. The shares were distributed into the participant's account on February 22, 2017.

F5 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

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February 19, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 7,560 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · nonDerivative · entry 3

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,236.35

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · date: In light of the vesting date, Sunday, February 19, 2017, and in accordance with the terms of the 2011 LTISP, award shares were valued based on the Company's closing stock price on February 17, 2017, the immediately preceding business day. The shares were distributed into the participant's account on February 22, 2017.

F4 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/19/14 that vested on 2/19/17.

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February 17, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Stock Rights · Derivative 4,465 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · derivative · entry 7

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,746

Underlying: Common Stock · 4,465 shares

Expires not disclosed

F10 · derivative.exercise_price: 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. The RSRs were granted under the LTISP on 2/17/17 and will vest on 2/17/20.

F10 · derivative.exercise_date: 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. The RSRs were granted under the LTISP on 2/17/17 and will vest on 2/17/20.

F10 · derivative.expiration_date: 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. The RSRs were granted under the LTISP on 2/17/17 and will vest on 2/17/20.

F11 · balance_after: Total amount includes 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; 5,954 RSRs granted under the LTISP on 2/18/15 that will vest on 2/18/18; and 7,560 RSRs granted under the LTISP on 2/19/14 that vested on 2/19/17.

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February 17, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Performance Stock Rights · Derivative 26,830.92 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · derivative · entry 6

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,012

Underlying: Common Stock · 26,830.92 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/19/14 with a valuation of performance measurement period ("measurement period") ended 12/31/16. The RPSRs were settled at 148% of target.

F6 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F9 · balance_after: Total amount includes 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; 12,710 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18; and 12,626 RPSRs granted on 2/18/15 with a measurement period ending on 12/31/17.

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February 17, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Performance Stock Rights · Derivative 19,377.92 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · derivative · entry 5

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,842.92

Underlying: Common Stock · 19,377.92 shares

Expires not disclosed

F6 · derivative.exercise_price: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F7 · shares: The RPSRs acquired include (i) 8,701.92 vested RPSRs with respect to the measurement period ended 12/31/16 acquired due to settlement of the 2014 RPSRs held at 148% of the target award and (ii) 10,676 unvested RPSRs granted under the LTSIP on 2/17/17 with a measurement period ending on 12/31/19.

F6 · derivative.exercise_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · derivative.expiration_date: 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 application performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F8 · balance_after: Total amount includes 26,830.92 vested RPSRs granted under the LTISP on 2/19/14 with a measurement period ended on 12/31/16; 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; 12,710 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18; and 12,626 RPSRs granted on 2/18/15 with a measurement period ending on 12/31/17.

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February 17, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 12,197 $243.58 $2,970,945.26
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,676.35

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:40 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 26,830.92 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004136 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · Corp VP & Pres Mission Syst

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,873.35

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/19/14 with a valuation of performance measurement period ("measurement period") ended 12/31/16. The RPSRs were settled at 148% of target.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.