SEC Form 4 · accession 0000808450-18-000162
NAVISTAR INTERNATIONAL CORP · NAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William V McMenamin
Officer — President Fin Serv & Treasurer
Period of report
Sep 21, 2018
Accepted (ET)
Sep 24, 2018 · 6:30 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 | Sep 21, 2018 | M | 3,300 | $37.20 | A | 38,187 | D | |
| Common Stock | Sep 21, 2018 | F | 3,043 | $41.56 | D | 35,144 | D | |
| Common Stock | Sep 21, 2018 | M | 1,202 | $22.655 | A | 36,346 | D | |
| Common Stock | Sep 21, 2018 | F | 747 | $41.56 | D | 35,599 | D | |
| Premium Share UnitsF1 | holding | — | — | — | 1,681 | 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 | $37.20 | Sep 21, 2018 | M | 3,300 | D | — | Dec 19, 2018 | Common Stock | 3,300 | 0 | D |
| Employee Stock Option (right to buy)F3 | $22.655 | Sep 21, 2018 | M | 1,202 | D | — | Dec 16, 2018 | Common Stock | 1,202 | 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 as to 1,100 shares on 12/19/2012; as to 1,100 shares on 12/19/2013; and as to 1,100 shares on 12/19/2014.
- F3The number of stock options reported is from an award of 4,422 options granted on 12/16/2008 that became exercisable as to 1,474 shares on 12/16/2009; as to 1,474 shares on 12/16/2010 and as to 1,474 shares on 12/16/2011. The option was exercised as to 100 of the shares on 9/14/2011 and as to 3,120 of the shares on 6/18/2013.