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)
|
02/04/1998(3)
|
02/03/2007 |
Common Stock
|
2,144
|
$
46.79
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
02/11/1999(4)
|
02/10/2008 |
Common Stock
|
2,144
|
$
49.85
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
02/10/2000(5)
|
02/09/2009 |
Common Stock
|
1,608
|
$
46.67
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
04/26/2001(6)
|
04/25/2010 |
Common Stock
|
16,072
|
$
54.11
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
12/11/2002(7)
|
02/19/2012 |
Common Stock
|
8,572
|
$
34.54
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
08/20/2004(8)
|
08/20/2013 |
Common Stock
|
12,000
|
$
47.11
|
D
|
Â
|
Stock Option (Right-to-Buy)
|
06/14/2005(9)
|
06/14/2014 |
Common Stock
|
12,000
|
$
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 4,000 unvested Restricted Performance Stock Rights (RPSRs) granted under the 2001 Long-Term Incentive Stock Plan (LTISP) on 5/21/03, with the valuation of performance measurement period ("measurement period") ending on 12/31/05; 6,000 unvested RPSRs granted under the 2001 LTISP on 8/20/03, with the measurement period ending on 12/31/06; and 6,000 unvested RPSRs granted under the 2001 LTISP on 2/16/05, with the measurement period ending on 12/31/07. 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 August 15, 2005. 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, originally a TRW Inc. option granted on 2/4/97 and vesting in three equal annual installlments, was fully-vested immediately upon Northrop Grumman Corporation's acquisition of TRW Inc. on 12/11/02. |
(4) |
This option, originally a TRW Inc. option granted on 2/11/98 and vesting in three equal annual installlments, was fully-vested immediately upon Northrop Grumman Corporation's acquisition of TRW Inc. on 12/11/02. |
(5) |
This option, originally a TRW Inc. option granted on 2/10/99 and vesting in three equal annual installlments, was fully-vested immediately upon Northrop Grumman Corporation's acquisition of TRW Inc. on 12/11/02. |
(6) |
This option, originally a TRW Inc. option granted on 4/26/00 and vesting in three equal annual installments, was fully-vested immediately upon Northrop Grumman Corporation's acquisition of TRW Inc. on 12/11/02. |
(7) |
This option, originally a TRW Inc. option granted on 2/20/02 and vesting in three equal annual installments, was fully-vested immediately upon Northrop Grumman Corporation's acquisition of TRW Inc. on 12/11/02. |
(8) |
This option was granted on 8/20/03, and vests in four equal annual installments following the date of the grant. |
(9) |
This option was granted on 6/14/04, and vests in four equal annual installments following the date of the grant. |