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)
|
08/20/2004(3)
|
08/20/2013 |
Common Stock
|
4,000
|
$
47.11
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
06/14/2005(4)
|
06/14/2014 |
Common Stock
|
4,000
|
$
52.485
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
02/27/2009(5)
|
02/27/2015 |
Common Stock
|
16,750
|
$
80.82
|
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 amount includes 4,000 unvested Restricted Performance Stock Rights (RPSRs) granted under the 2001 Long-Term Incentive Stock Plan (LTISP) on 2/15/06 with a valuation of performance measurement period ("measurement period") ending on 12/31/08; 5,000 unvested RPSRs granted under the 2001 LTISP on 2/28/07 with the measurement period ending on 12/31/09; and 3,650 unvested RPSRs granted under the 2001 LTISP on 2/27/08 with the measurement period ending on 12/31/10. 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 March 14, 2008. 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) |
The option, granted on 8/20/03, became first exercisable on 8/20/04 with vesting schedule of one-fourth (25%) annual installments of the optioned shares commencing from the date of grant. The vesting schedule accelerated to 100% on 9/30/05. |
(4) |
The option, granted on 6/14/04, became first exercisable on 6/14/05 with vesting schedule of one-fourth (25%) annual installments of the optioned shares commencing from the date of grant. The vesting schedule accelerated to 100% on 9/30/05. |
(5) |
The option, granted on 2/27/08, vests in three annual installments from the date of the grant and becomes exercisable to the extent of one-third (33%) of the optioned shares on 2/27/09. |