SEC Form 4 · accession 0000808450-18-000054
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
Apr 16, 2018
Accepted (ET)
Apr 18, 2018 · 4:46 pm EDT
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 | Apr 16, 2018 | A | 40,530 | $0.00 | A | 261,891 | 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 | $40.71 | Apr 16, 2018 | A | 56,497 | A | — | Apr 16, 2028 | Common Stock | 56,497 | 56,497 | 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: 18,833 shares on April 16, 2019; 18,832 shares on April 16, 2020; and 18,832 shares on April 16, 2021.