SEC Form 4 · accession 0000808450-17-000029
NAVISTAR INTERNATIONAL CORP · NAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troy A Clarke
Officer — Chairman, President & CEO · Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 6:46 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 | Feb 14, 2017 | A | 49,126 | $0.00 | A | 242,592 | D | |
| Premium Share UnitsF1 | holding | — | — | — | 6,113 | D |
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 | $27.48 | Feb 14, 2017 | A | 68,233 | A | — | Feb 14, 2027 | Common Stock | 68,233 | 68,233 | 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 is exercisable in three annual installments as follows: 22,745 shares on 2/14/2018; 22,744 shares on 2/14/2019; and 22,744 shares on 2/14/2020.