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 (Option-to-Buy)
|
04/26/2001(3)
|
04/25/2010 |
Common Stock
|
10,714
|
$
54.11
|
D
|
Â
|
Stock Option (Option-to-Buy)
|
02/11/2002(4)
|
02/19/2012 |
Common Stock
|
8,572
|
$
34.54
|
D
|
Â
|
Stock Option (Option-to-Buy)
|
08/20/2004(5)
|
08/20/2013 |
Common Stock
|
7,000
|
$
47.11
|
D
|
Â
|
Stock Option (Option-to-Buy
|
06/14/2005(6)
|
06/14/2014 |
Common Stock
|
8,000
|
$
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 3,600 vested 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") that ended on 12/31/07; 7,000 unvested RPSRs granted under the LTISP on 2/15/06 with a measurement period ending on 12/31/08; and 8,750 unvested RPSRs granted under the LTISP on 2/28/07 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 January 29, 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) |
This option, granted on 4/26/00, vests in three annual installments from the date of the grant and became exercisable to the extent of one-third (33%) of the optioned shares on 4/26/01. |
(4) |
This option, granted on 2/20/02, became 100% vested and exercisable on 12/11/02 due to change in control. |
(5) |
This 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. |
(6) |
This 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. |