Filing Details
- Accession Number:
- 0000808450-11-000031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-07 13:00:00
- Reporting Period:
- 2011-04-05
- Filing Date:
- 2011-04-07
- Accepted Time:
- 2011-04-07 17:27:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 808450 | Navistar International Corp | NAV | Motor Vehicles & Passenger Car Bodies (3711) | 363359573 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1181333 | C Daniel Ustian | Navistar International Corporation 4201 Winfield Road Warrenville IL 60555 | Chairman, President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-04-05 | 55,469 | $49.84 | 200,084 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-05 | 55,469 | $69.59 | 144,615 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-04-05 | 58,100 | $23.97 | 202,715 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-05 | 35,746 | $69.91 | 166,969 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-04-05 | 2,248 | $0.00 | 2,248 | $49.84 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-04-05 | 44,139 | $0.00 | 44,139 | $49.84 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-04-05 | 9,082 | $0.00 | 9,082 | $49.84 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-04-05 | 58,100 | $0.00 | 58,100 | $23.97 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2011-04-05 | 35,746 | $0.00 | 35,746 | $69.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-10-14 | 2011-12-11 | No | 4 | M | Direct |
| 0 | 2010-10-14 | 2011-12-12 | No | 4 | M | Direct |
| 0 | 2010-10-14 | 2011-12-12 | No | 4 | M | Direct |
| 0 | 2013-02-20 | No | 4 | M | Direct | |
| 35,746 | 2011-10-05 | 2013-02-20 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,910 | Indirect | By Navistar 401(k) Savings Plan |
| Premium Share Units | 11,910 | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.50 to $69.78, inclusive. The reporting person undertakes to provide Navistar International Corporation, any secuirty holder of Navistar International Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- The Premium Share Units were acquired under Navistar's Executive Stock Ownership Program. Each Premium Share Unit represents one share of Navistar Common Stock.
- The Option became exercisable as to 19,367 shares on 2/19/2004; as to 19,366 shares on 2/19/2005; and as to 19,367 shares on 2/19/2006.
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