1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right-to-Buy)
|
08/20/2003(3)
|
08/20/2012 |
Common Stock
|
2,100
|
$
57.4
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
08/20/2004(4)
|
08/20/2013 |
Common Stock
|
3,000
|
$
47.11
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
06/14/2005(5)
|
06/14/2014 |
Common Stock
|
4,000
|
$
52.485
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Total includes 1,800 unvested Restricted Performance Stock Rights (RPSRs) granted under the 2001 Long-Term Incentive Stock Plan (LTISP) on 2/16/05 with a valuation of performance measurement period ("measurement period") ending on 12/31/07; 2,000 unvested RPSRs granted under the LTISP on 2/15/06 with a measurement period ending on 12/31/08; 800 unvested RPSRs granted under the LTISP on 6/24/06 with a measurement period ending on 12/31/08; 4,500 unvested RPSRs granded under the LTISP on 2/28/07 with a measurement period ending on 12/31/09; and 1,000 RPSRs granted under the LTISP on 8/1/07 with a measurement period ending on 12/31/09. Grants awarded pursuant to Rule 16b-3(d). |
(2) |
Held in the Northrop Grumman Savings and Investment Plan, a qualified profit sharing plan, as of July 24, 2007. Share totals with respect to the Plan are based upon unit accounting and therefore may reflect a decrease in units attributable to an individual though no disposition occurred. |
(3) |
This stock option, granted on 8/20/02, becomes exercisable to the extent of one-fourth (25%) of the optioned shares for each year of employment following the date of grant. |
(4) |
This stock option, granted on 8/20/03, becomes exercisable to the extent of one-fourth (25%) of the optioned shares for each year of employment following the date of grant. |
(5) |
This stock option, granted on 6/14/04, becomes exercisable to the extent of one-fourth (25%) of the optioned shares for each year of employment following the date of grant. |