SEC Form 4 · accession 0000808450-16-000146
NAVISTAR INTERNATIONAL CORP · NAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven K Covey
Officer — SVP & General Counsel
Period of report
Dec 21, 2016
Accepted (ET)
Dec 22, 2016 · 3:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000808450
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 21, 2016 | M | 20,703 | $22.655 | A | 82,882 | D | |
| Common Stock | Dec 21, 2016 | D | 16,269 | $31.80 | D | 66,613 | D | |
| Premium Share UnitsF1 | holding | — | — | — | 3,601 | D | ||
| Common Stock | holding | — | — | — | 2,419 | I | By Navistar 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $22.655 | Dec 21, 2016 | M | 20,703 | D | — | Dec 16, 2018 | Common Stock | 20,703 | 0 | D |
Explanation of responses
- F1The Premium Share Units were acquired under Navistar's Executive Stock Ownership Program. Each Premium Share Unit represents one share of Navistar Common Stock.
- F2The Option became exercisable in three annual installments as follows: 6,901 shares on 12/16/2009; 6,901 shares on 12/16/2010; and 6,901 shares on 12/16/2011.