SEC Form 4 · accession 0000808450-18-000170
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
Sep 26, 2018
Accepted (ET)
Sep 27, 2018 · 5:25 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 26, 2018 | M | 3,255 | $22.655 | A | 73,550 | D | |
| Common Stock | Sep 26, 2018 | F | 2,151 | $38.58 | D | 71,399 | D | |
| Common Stock | Sep 26, 2018 | M | 5,200 | $37.20 | A | 76,599 | D | |
| Common Stock | Sep 26, 2018 | F | 5,074 | $38.58 | D | 71,525 | 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 | $22.655 | Sep 26, 2018 | M | 3,255 | D | — | Dec 16, 2018 | Common Stock | 3,255 | 0 | D |
| Employee Stock Option (right to buy)F4 | $37.20 | Sep 26, 2018 | M | 5,200 | D | — | Dec 19, 2018 | Common Stock | 5,200 | 0 | 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 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 1,167 of the shares on 3/30/2012.
- F4The option became exercisable as to 1,734 shares on 12/19/2012; as to 1,733 shares on 12/19/2013; and as to 1,733 shares on 12/19/2014.