1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (right to buy)
|
Â
(2)
|
12/11/2011 |
Common Stock
|
3,300
|
$
38.2
|
D
|
Â
|
Employee Stock Option (right to buy)
|
12/09/2004 |
12/10/2013 |
Common Stock
|
282
|
$
42.885
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
12/09/2013 |
Common Stock
|
2,218
|
$
42.885
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
12/14/2014 |
Common Stock
|
2,500
|
$
40.915
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
10/18/2015 |
Common Stock
|
2,500
|
$
26.15
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/16/2018 |
Common Stock
|
4,422
|
$
22.655
|
D
|
Â
|
Restricted Stock Units
|
Â
(7)
|
Â
(7)
|
Common Stock
|
2,640
|
$
(8)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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 Ownership Program. Each Premium Share Unit represents one share of Navistar Common Stock. |
(2) |
The Options became exercisable in three equal installments of 1,100 shares on 12/11/2002; 12/11/2003; and 12/11/2004. |
(3) |
The Options became exercisable as to 552 shares on 12/9/2004; as to 833 shares on 12/9/2005 and as to 833 shares on 12/9/2006. |
(4) |
The Options became exercisable as to 834 shares on 12/14/2005; as to 833 shares on 12/14/2006 and as to 833 shares on 12/14/2007. |
(5) |
The Options became exercisable as to 834 shares on 10/18/2006; as to 833 shares on 10/18/2007 and as to 833 shares on 10/18/2008. |
(6) |
The Options became exercisable as to 1,474 shares on 12/16/2009; and will become exercisable as to 1,474 shares on 12/16/2010 and as to 1,474 shares on 12/16/2011. |
(7) |
The restricted stock units become payable in cash in three equal annual installments of 880 shares on 12/15/2010; 12/15/2011 and 12/15/2012. |
(8) |
Each restricted stock unit represents the right to receive the cash equivalent of Navistar's common stock converted on a 1 to 1 basis. |