# EDGAR Filing Document

**Accession Number:** 0001559097
**File Stem:** 0001628280-23-004313
**Filing Date:** 2023-2
**Character Count:** 7962
**Document Hash:** ca31ba1665a7def7025441c7326547e4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-23-004313.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001628280-23-004313

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230221

**DATE AS OF CHANGE**: 20230221

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Caylor Mark A
- **CENTRAL INDEX KEY:** 0001559097

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-16411
- **FILM NUMBER:** 23648559

**MAIL ADDRESS:**
- **STREET 1:** 2980 FAIRVIEW PARK DRIVE
- **CITY:** FALLS CHURCH
- **STATE:** VA
- **ZIP:** 22042
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NORTHROP GRUMMAN CORP /DE/
- **CENTRAL INDEX KEY:** 0001133421
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEARCH, DETECTION, NAVIGATION, GUIDANCE, AERONAUTICAL SYS [3812]
- **IRS NUMBER:** 800640649
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2980 FAIRVIEW PARK DRIVE
- **STREET 2:** C/O NORTHROP GRUMMAN CORP
- **CITY:** FALLS CHURCH
- **STATE:** VA
- **ZIP:** 22042
- **BUSINESS PHONE:** 703-280-2900

**MAIL ADDRESS:**
- **STREET 1:** 2980 FAIRVIEW PARK DRIVE
- **STREET 2:** C/O NORTHROP GRUMMAN CORP
- **CITY:** FALLS CHURCH
- **STATE:** VA
- **ZIP:** 22042

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NNG INC
- **DATE OF NAME CHANGE:** 20010129

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Caylor Mark A<br><sub>(Last) (First) (Middle)</sub><br>2980 FAIRVIEW PARK DRIVE<br><sub>(Street)</sub><br>FALLS CHURCH, VA 22042<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CVP & Pres, Mission Systems_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NORTHROP GRUMMAN CORP /DE/ [ NOC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-16 |  | M |  | 8112.15 | A | $0 | 23114.66 | D |  |
| Common Stock | 2023-02-16 |  | F |  | 4065 | D | $465.35 | 19049.66 | D |  |
| Common Stock |  |  |  |  |  |  |  | 37.3973 | I | Held in Northrop Grumman Savings Plan<sup>(1)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Rights | <sup>(2)</sup> | 2023-02-16 |  | A |  | 2152 |  | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 2152.0 | $0 | 7893 | D |  |
| Restricted Performance Stock Rights | <sup>(3)</sup> | 2023-02-16 |  | A |  | 6772.15<sup>(4)</sup> |  | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 6772.15 | $0 | 25385.15 | D |  |
| Restricted Performance Stock Rights | <sup>(3)</sup> | 2023-02-16 |  | M |  |  | 8112.15 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 8112.15 | $0 | 17273 | D |  |

---

### Footnotes:

(1) Held in the Northrop Grumman Savings Plan (the "Plan"), a qualified defined contributions plan, as of 2/16/2023. Share totals with respect to the Plan are based upon unit accounting and therefore may reflect a change in units attributable to an individual though no acquisition or disposition occurred.

(2) Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares in 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 Long-Term Incentive Stock Plan ("LTISP") on 2/16/23 and will vest on 2/17/26.

(3) Each Restricted Performance Stock Right ("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 applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

(4) The RPSRs acquired include (i) 2,103.15 vested RPSRs with respect to the measurement period ended 12/31/22 acquired due to settlement of the RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/12/20 that resulted in settlement at 135% of the target award; and (ii) 4,669 unvested RPSRs granted under the LTISP on 2/16/23 with a measurement period ending on 12/31/25. A total of 8,112.15 shares were issued in settlement of the 2020 RPSRs with a measurement period that ended 12/31/22, and the target award amount of 6,009 RPSRs was previously reported in connection with the grant of the 2020 RPSRs.

**Signature:** /s/ Jennifer C. McGarey, Attorney-in-Fact  
**Date:** 2023-02-21

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**