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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) | $ 42.885 | 01/04/2011 | M | 282 | 12/09/2004 | 12/10/2013 | Common Stock | 282 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 42.885 | 01/04/2011 | M | 2,218 | (2) | 12/09/2013 | Common Stock | 2,218 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 40.915 | 01/04/2011 | M | 2,500 | (3) | 12/14/2014 | Common Stock | 2,500 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 26.15 | 01/04/2011 | M | 1,500 | (4) | 10/18/2015 | Common Stock | 1,500 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 56.665 | 01/04/2011 | A | 238 | 07/04/2011 | 12/10/2013 | Common Stock | 238 | $ 0 | 238 | D | ||||
Employee Stock Option (right to buy) | $ 56.665 | 01/04/2011 | A | 1,861 | 07/04/2011 | 12/09/2013 | Common Stock | 1,861 | $ 0 | 1,861 | D | ||||
Employee Stock Option (right to buy) | $ 56.665 | 01/04/2011 | A | 2,040 | 07/04/2011 | 12/14/2014 | Common Stock | 2,040 | $ 0 | 2,040 | D | ||||
Employee Stock Option (right to buy) | $ 56.665 | 01/04/2011 | A | 956 | 07/04/2011 | 10/18/2015 | Common Stock | 956 | $ 0 | 956 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tarapchak Richard C 4201 WINFIELD ROAD WARRENVILLE, IL 60555 |
VP & Corporate Controller |
Curt A. Kramer | 01/06/2011 | |
**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 Premium Share Units were acquired under Navistar's Executive Stock Ownerhip Program. Each Premium Share Unit represents one share of Navistar Common Stock. |
(2) | The Options became exercisable in three annual installments as follows: 552 shares on 12/09/2004; 833 shares on 12/09/2005; and 833 shares on 12/09/2006. |
(3) | The Options became exercisable in three annual installments as follows: 834 shares on 12/14/2005; 833 shares on 12/14/2006; and 833 shares on 12/14/2007. |
(4) | The Options exercised were from an award of 2,500 stock options that became exercisable in three annual installments as follows: 834 shares on 10/18/2006; 833 shares on 10/18/2007; and 833 shares on 10/18/2008. |