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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 58.915 | 12/14/2010 | A | 5,200 | (1) | 12/14/2017 | Common Stock | 5,200 | $ 0 | 5,200 | D | ||||
Restricted Stock Units | (2) | 12/14/2010 | A | 2,080 | (3) | (3) | Common Stock | 2,080 | $ 0 | 2,080 | D | ||||
Employee Stock Option (right to buy) | $ 58.915 | 12/14/2010 | A | 1,250 | (4) | 12/14/2017 | Common Stock | 1,250 | $ 0 | 1,250 | I | By wife | |||
Restricted Stock Units | (2) | 12/14/2010 | A | 500 | (5) | (5) | Common Stock | 500 | $ 0 | 500 | I | By wife | |||
Restricted Stock Units | (2) | 12/15/2010 | M | 334 | (6) | (6) | Common Stock | 334 | $ 0 | 666 | I | By wife |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Moran James M NAVISTAR INTERNATIONAL CORPORATION 4201 WINFIELD ROAD WARRENVILLE, IL 60555 |
Vice President and Treasurer |
Curt A. Kramer, Attorney in fact | 12/16/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Option is exercisable in three annual installments as follows: 1,734 shares on 12/14/2011; 1,733 shares on 12/14/2012; and 1,733 shares on 12/14/2013. |
(2) | Each restricted stock unit represents the right to receive the cash equivalent of Navistar's common stock converted on a 1 to 1 basis. |
(3) | The resricted stock units become payable in cash in three annual installments as follows: 694 shares on 12/14/2011; 693 shares on 12/14/2012; and 693 shares on 12/14/2013. |
(4) | The Option is exercisable in three annual installments as follows: 417 shares on 12/14/2011; 417 shares on 12/14/2012; and 416 shares on 12/14/2013. |
(5) | The resricted stock units become payable in cash in three annual installments as follows: 167 shares on 12/14/2011; 167 shares on 12/14/2012; and 166 shares on 12/14/2013. |
(6) | The resricted stock units disposed were from an award of 1,000 restricted stock units that became payable in cash as to 334 shares on 12/15/2010; and will become payable in cash as to 333 shares on 12/15/2011; and 333 shares on 12/15/2012. |