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
(3)
|
12/16/2018 |
Common Stock
|
11,199
|
$
22.655
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
12/15/2016 |
Common Stock
|
21,306
|
$
35.805
|
D
|
Â
|
Employee Stock Option (right to buy)
|
04/14/2011 |
12/11/2012 |
Common Stock
|
3,984
|
$
49.215
|
D
|
Â
|
Employee Stock Option (right to buy)
|
04/14/2011 |
12/09/2013 |
Common Stock
|
2,670
|
$
49.215
|
D
|
Â
|
Employee Stock Option (right to buy)
|
04/14/2011 |
12/10/2013 |
Common Stock
|
6,922
|
$
49.215
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
12/14/2017 |
Common Stock
|
27,800
|
$
58.915
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/19/2018 |
Common Stock
|
27,800
|
$
37.2
|
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 Deferred Share Units were acquired under Navistar's Executive Stock Ownership Program. Each Deferred Share Unit represents one share of Navistar Common Stock. |
(2) |
The Premium Share Units were acquired under Navistar's Executive Stock Ownership Program. Each Premium Share Unit represents one share of Navistar Common Stock. |
(3) |
The Option originally covered 31,959 shares and became exercisable as to 10,653 shares on 12/16/2009, as to 10,653 shares on 12/16/2010 and as to 10,653 shares on 12/16/2011. |
(4) |
The Option originally covered 31,959 shares and became exercisable as to 10,653 shares on 12/15/2010 and as to 10,653 shares on 12/15/2011, and will become exercisable as to 10,653 shares on 12/15/2012. |
(5) |
The Option became exercisable as to 9,267 shares on 12/14/2011, and will become exercisable as to 9,266 shares on 12/14/2012 and as to 9,267 shares on 12/14/2013. |
(6) |
The Option will become exercisable as to 9,267 shares on 12/19/2012, as to 9,266 shares on 12/19/2013 and as to 9,267 shares on 12/19/2014. |