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ASHWORTH SID

Disclosed activity across 1 company

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172240
SEC CIK
0001499703

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
NORTHROP GRUMMAN CORP /DE/NOC · Entity 2963Corp VP, Government RelationsOctober 27, 2017October 31, 2017

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 October 27, 2017 · Filed October 31, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect63,146.62 Reported balance After 2017-10-27 transaction · row 1
1 source row

Row 1 · 2017-10-27 · Sale · Disposed 6,311 · Balance 63,146.62

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

Common StockSEC Table I · non-derivativeIndirectHeld in the Margaret Sidney Ashworth Revocable Trust23,985 Reported balance Holding disclosure · report date 2017-10-27 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 23,985

Filing footnotes · ownership attribution and instrument terms

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

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
October 27, 2017 Filed Oct 31, 2017 19:29 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 SaleCommon Stock 6,311 $298.00 $1,880,678.00
Disclosure

SEC source: 0001225208-17-016680 · doc4.xml · nonDerivative · entry 1

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,146.62

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

Read SEC document
June 14, 2017 Filed Jun 16, 2017 19:54 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 SaleCommon Stock 3,847 $260.00 $1,000,220.00
Disclosure

SEC source: 0001225208-17-011421 · doc4.xml · nonDerivative · entry 1

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,457.62

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

Read SEC document
February 19, 2017 Filed Feb 22, 2017 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Stock Rights · Derivative 4,032 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · derivative · entry 9

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,133

Underlying: Common Stock · 4,032 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 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.

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.

F13 · balance_after: Total amount includes 2,169 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 2,801 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; and 3,163 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 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 2,054 $243.58 $500,313.32
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · nonDerivative · entry 4

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,304.62

F3 · date: In light of the vesting date, Sunday, February 19, 2017, and in accordance with the terms of the 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 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 4,032 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · nonDerivative · entry 3

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,358.62

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 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 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Stock Rights · Derivative 2,169 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · derivative · entry 8

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,165

Underlying: Common Stock · 2,169 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 2,169 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; 2,801 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19; 3,163 RSRs granted under the LTISP on 2/18/15 that will vest on 2/18/18; and 4,032 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 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionRestricted Performance Stock Rights · Derivative 14,310.12 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · derivative · entry 7

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,067

Underlying: Common Stock · 14,310.12 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 5,186 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; 6,174 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18; and 6,707 RPSRs granted on 2/18/15 with a measurement period ending on 12/31/17.

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 GrantRestricted Performance Stock Rights · Derivative 9,827.12 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · derivative · entry 6

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,377.12

Underlying: Common Stock · 9,827.12 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) 4,641.12 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) 5,186 unvested RPSRs granted under the LTISP 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 14,310.12 vested RPSRs granted under the LTISP on 2/19/14 with a measurement period ended on 12/31/16; 5,186 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19; 6,174 RPSRs granted on 2/17/16 with a measurement period ending on 12/31/18; and 6,707 RPSRs granted on 2/18/15 with a measurement period ending on 12/31/17.

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Tax withholdingCommon Stock 6,227 $243.58 $1,516,772.66
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · nonDerivative · entry 2

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,326.62

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 21:35 UTC NORTHROP GRUMMAN CORP /DE/ NOC · Entity 2963 Exercise / conversionCommon Stock 14,310.12 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-004124 · doc4.xml · nonDerivative · entry 1

ASHWORTH SID · CIK 0001499703 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,553.62

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.