Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NORTHROP GRUMMAN CORP /DE/NOC · Entity 2963 | CVP, Chief Strategy & Dev Ofc | February 16, 2023 | February 21, 2023 |
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.
NORTHROP GRUMMAN CORP /DE/
Report date February 16, 2023 · Filed February 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,932.78 |
Ending reported balance
After 2023-02-16 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-02-16 · Exercise / conversion · Acquired 4,866.75 · Balance 20,043.78 Row 2 · 2023-02-16 · Tax withholding · Disposed 2,111 · Balance 17,932.78 |
| Restricted Stock RightsSEC Table II · derivative / convertible security | Direct | 4,654 |
Reported balance
After 2023-02-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-02-16 · Grant · Acquired 1,210 · Balance 4,654 F1: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares in 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 Long-Term Incentive Stock Plan ("LTISP") on 2/16/23 and will vest on 2/17/26. |
| Restricted Performance Stock RightsSEC Table II · derivative / convertible security | Direct | 15,055.75 |
Reported balance
After 2023-02-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-02-16 · Grant · Acquired 3,887.75 · Balance 15,055.75 F2: Each Restricted Performance Stock Right ("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: The RPSRs acquired include (i) 1,261.75 vested RPSRs with respect to the measurement period ended 12/31/22 acquired due to settlement of the RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/12/20 that resulted in settlement at 135% of the target award; and (ii) 2,626 unvested RPSRs granted under the LTISP on 2/16/23 with a measurement period ending on 12/31/25. A total of 4,866.75 shares were issued in settlement of the 2020 RPSRs with a measurement period that ended 12/31/22, and the target award amount of 3,605 RPSRs was previously reported in connection with the grant of the 2020 RPSRs. |
| Restricted Performance Stock RightsSEC Table II · derivative / convertible security | Direct | 10,189 |
Reported balance
After 2023-02-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-02-16 · Exercise / conversion · Disposed 4,866.75 · Balance 10,189 F2: Each Restricted Performance Stock Right ("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). |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares in 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 Long-Term Incentive Stock Plan ("LTISP") on 2/16/23 and will vest on 2/17/26.
F2: Each Restricted Performance Stock Right ("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: The RPSRs acquired include (i) 1,261.75 vested RPSRs with respect to the measurement period ended 12/31/22 acquired due to settlement of the RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/12/20 that resulted in settlement at 135% of the target award; and (ii) 2,626 unvested RPSRs granted under the LTISP on 2/16/23 with a measurement period ending on 12/31/25. A total of 4,866.75 shares were issued in settlement of the 2020 RPSRs with a measurement period that ended 12/31/22, and the target award amount of 3,605 RPSRs was previously reported in connection with the grant of the 2020 RPSRs.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 25, 2018 Filed Feb 25, 2019 22:12 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | SaleCommon Stock | 25 | $300.77 | $7,519.25 |
DisclosureSEC source: 0001225208-19-003524 · doc4.xml · nonDerivative · entry 1 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse and mother-in-law Disclosed balance after: 0 Read SEC document |
| August 27, 2018 Filed Aug 29, 2018 21:15 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | SaleCommon Stock | 1,065 | $300.02 | $319,521.30 |
DisclosureSEC source: 0001225208-18-012963 · doc4.xml · nonDerivative · entry 1 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,656.33 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 $300.02 rounded to the nearest hundredth. The highest price at which the shares were sold was $300.16 and the lowest price at which the shares were sold was $300.00. 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. Read SEC document |
| February 18, 2018 Filed Feb 22, 2018 22:21 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionRestricted Stock Rights · Derivative | 828 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003814 · doc4.xml · derivative · entry 4 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,356 Underlying: Common Stock · 828 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 1,445 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 893 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 2,285 RSRs granted under the LTISP on 11/1/16 that will vest on 11/1/18; and 733 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 22:21 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Tax withholdingCommon Stock | 374 | $350.36 | $131,034.64 |
DisclosureSEC source: 0001225208-18-003814 · doc4.xml · nonDerivative · entry 2 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,694.33 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 22:21 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionCommon Stock | 828 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003814 · doc4.xml · nonDerivative · entry 1 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,068.33 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 22:38 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | GrantRestricted Stock Rights · Derivative | 1,445 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003059 · doc4.xml · derivative · entry 5 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,184 Underlying: Common Stock · 1,445 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 1,445 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 893 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 2,285 RSRs granted under the LTISP on 11/1/16 that will vest on 11/1/18; 733 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; and 828 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 22:38 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionRestricted Performance Stock Rights · Derivative | 2,530.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003059 · doc4.xml · derivative · entry 4 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,977 Underlying: Common Stock · 2,530.92 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. 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 131% 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 3,182 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 2,084 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 1,711 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 22:38 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | GrantRestricted Performance Stock Rights · Derivative | 3,780.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003059 · doc4.xml · derivative · entry 3 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,507.92 Underlying: Common Stock · 3,780.92 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) 598.92 vested RPSRs with respect to the measurement period ended 12/31/17 acquired due to settlement of the 2015 RPSRs held at 131% of the target award and (ii) 3,182 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 2,530.92 vested RPSRs granted under the LTISP on 2/18/15 with a measurement period ended on 12/31/17; 3,182 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 2,084 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 1,711 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 22:38 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Tax withholdingCommon Stock | 880 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003059 · doc4.xml · nonDerivative · entry 2 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,240.33 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 22:38 UTC | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionCommon Stock | 2,530.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-003059 · doc4.xml · nonDerivative · entry 1 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,120.33 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 131% 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 22:59 UTC Amendment | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionRestricted Performance Stock Rights · Derivative | 2,530.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-004218 · doc4a.xml · derivative · entry 3 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,977 Underlying: Common Stock · 2,530.92 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. 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 131% 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 3,182 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 2,084 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; and 1,711 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18. Read SEC document |
| February 13, 2018 Filed Feb 26, 2018 22:59 UTC Amendment | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Tax withholdingCommon Stock | 853 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-004218 · doc4a.xml · nonDerivative · entry 2 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,267.33 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. Read SEC document |
| February 13, 2018 Filed Feb 26, 2018 22:59 UTC Amendment | NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 | Exercise / conversionCommon Stock | 2,530.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-004218 · doc4a.xml · nonDerivative · entry 1 Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,120.33 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 131% of target. The shares are anticipated to be distributed into the participant's account on February 26, 2018. 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.