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)
|
10/18/2015 |
Common Stock
|
2,500
|
$
26.15
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
12/16/2018 |
Common Stock
|
3,255
|
$
22.655
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
12/14/2017 |
Common Stock
|
3,300
|
$
58.915
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/19/2018 |
Common Stock
|
5,200
|
$
37.2
|
D
|
Â
|
Employee Stock Option (right to buy)
|
12/19/2016(7)
|
12/19/2020 |
Common Stock
|
32,895
|
$
27.24
|
D
|
Â
|
Restricted Stock Units
|
Â
(8)
|
Â
(8)
|
Common Stock
|
693
|
$
(9)
|
D
|
Â
|
Restricted Stock Units
|
Â
(10)
|
Â
(10)
|
Common Stock
|
1,666
|
$
(11)
|
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 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. |
(4) |
The number of stock options reported is from a grant of 4,422 shares 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. |
(5) |
The option became exercisable as to 1,100 shares on 12/14/2011; as to 1,100 shares on 12/14/2012; and as to 1,100 shares on 12/14/2013. |
(6) |
The option became exercisable as to 1,734 shares on 12/19/2012; as to 1,733 shares on 12/19/2013; and will become exercisable as to 1,733 shares on 12/19/2014. |
(7) |
The vesting of the option was subject to performance metrics that were previously achieved. |
(8) |
The number of restricted stock units reported is from an award of 2,080 shares granted on 12/19/2011 that has been paid in cash as to 694 shares on 12/19/2012 and as to 693 shares on 12/19/2013; and will become payable in cash as to 693 shares on 12/19/2014. |
(9) |
Each restricted stock unit represents the right to receive the cash equivalent of Navistar's common stock converted on a 1 to 1 basis. |
(10) |
The restricted stock units will become payable in cash in three annual installments as follows: 556 shares on 2/3/2015; 555 shares on 2/3/2016; and 555 shares on 2/3/2017. |
(11) |
Each restricted stock unit represents the right to receive the cash equivalent of Navistar's common stock converted on a 1 to 1 basis, unless the Corporation elects to settle the RSUs in common stock. |