SEC Form 4 · accession 0000808450-18-000020
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
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 6:54 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 13, 2018 | A | 11,946 | $0.00 | A | 70,295 | 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 | $40.18 | Feb 13, 2018 | A | 17,232 | A | — | Feb 13, 2028 | Common Stock | 17,232 | 17,232 | 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 is exercisable in three annual installments as follows: 5,744 shares on 2/13/2019; 5,744 shares on 2/13/2020; and 5,744 shares on 2/13/2021.