SEC Form 4 · accession 0000808450-17-000036
NAVISTAR INTERNATIONAL CORP · NAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Persio V Lisboa
Officer — EVP & Chief Operating Officer
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:11 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 | Mar 1, 2017 | A | 2,097 | $0.00 | A | 65,485 | D | |
| Deferred Share UnitsF1 | holding | — | — | — | 2,365 | D | ||
| Premium Shares UnitsF2 | holding | — | — | — | 425 | 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)F3 | $28.61 | Mar 1, 2017 | A | 2,919 | A | — | Mar 1, 2027 | Common Stock | 2,919 | 2,919 | D |
Explanation of responses
- F1The deferred share units were acquired under Navistar's Executive Stock Ownership Program. Each deferred share unit represents one share of Navistar common stock.
- F2The premium share units were acquired under Navistar's Executive Stock Ownership Program. Each premium share unit represents one share of Navistar common stock.
- F3The option becomes exercisable in three annual installments as follows: 973 shares on 3/1/2018; 973 shares on 3/1/2019; and 973 shares on 3/1/2020.