UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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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 |
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, Attorney in fact | 03/19/2010 | |
**Signature of Reporting Person | Date |
* | 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. |