SEC Form 4 · accession 0000075362-16-000343
PACCAR INC · PCAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Barkley
Officer — SR. VICE PRESIDENT/CONTROLLER
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 8:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000075362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK (SIP)F2,F4 | Dec 2, 2016 | J | 70 | $62.80 | A | 18,360 | D | |
| COMMON STOCK | holding | — | — | — | 15,914 | D | ||
| COMMON STOCK (ESPP)F1 | holding | — | — | — | 6 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK (DCP)F6 | — | Dec 2, 2016 | J | 3 | A | — | — | COMMON STOCK | 3 | 898 | D |
| STOCK OPTIONF5 | $50.50 | holding | — | — | — | Jan 1, 2014 | Feb 3, 2021 | COMMON STOCK | 8,782 | 8,782 | D |
| STOCK OPTIONF5 | $43.24 | holding | — | — | — | Jan 1, 2015 | Feb 2, 2022 | COMMON STOCK | 13,662 | 13,662 | D |
| STOCK OPTIONF5 | $47.81 | holding | — | — | — | Jan 1, 2016 | Feb 6, 2023 | COMMON STOCK | 11,728 | 11,728 | D |
| STOCK OPTIONF5 | $59.15 | holding | — | — | — | Jan 1, 2017 | Feb 7, 2024 | COMMON STOCK | 9,236 | 9,236 | D |
| STOCK OPTIONF5 | $62.46 | holding | — | — | — | Jan 1, 2018 | Feb 4, 2025 | COMMON STOCK | 8,562 | 8,562 | D |
| STOCK OPTIONF5 | $50.00 | holding | — | — | — | Jan 1, 2019 | Feb 4, 2026 | COMMON STOCK | 17,368 | 17,368 | D |
Explanation of responses
- F1Shares held in PACCAR Inc Employee Stock Purchase Plan (ESPP).
- F2Shares held in PACCAR Savings Investment Plan (SIP).
- F3December 2, 2016 dividend on PACCAR Savings Investment Plan (SIP) shares reinvested pursuant to SIP.
- F4Balance includes shares awarded under SIP since date of last report in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
- F5Option to buy awarded under PACCAR Long Term Incentive Plan (LTIP).
- F6Share units held in deferred phantom stock account under PACCAR Deferred Compensation Plan (DCP) convertible to common stock on a one-for-one basis upon satisfaction of all applicable vesting conditions.
- F7Dividend on share units held in deferred phantom stock account under DCP reinvested pursuant to DCP.