Sec Form 4 Filing - Kramer Curt A @ NAVISTAR INTERNATIONAL CORP - 2020-02-19

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Kramer Curt A
2. Issuer Name and Ticker or Trading Symbol
NAVISTAR INTERNATIONAL CORP [ NAV]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP & General Counsel
(Last) (First) (Middle)
NAVISTAR INTERNATIONAL CORPORATION, 2701 NAVISTAR DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
02/19/2020
(Street)
LISLE, IL60532
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/19/2020 M 1,028 A $ 27.24 15,833 D
Common Stock 02/19/2020 F 807 D $ 37.52 15,026 D
Common Stock 02/19/2020 M 1,028 A $ 27.24 16,054 D
Common Stock 02/19/2020 F 830 D $ 37.52 15,224 D
Common Stock 163.8942 I By Navistar 401(k) Savings Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $ 27.24 02/19/2020 M 1,028 ( 1 ) 02/19/2020 Common Stock 1,028 $ 0 0 D
Employee Stock Option (right to buy) $ 27.24 02/19/2020 M 1,028 ( 2 ) 02/19/2020 Common Stock 1,028 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Kramer Curt A
NAVISTAR INTERNATIONAL CORPORATION
2701 NAVISTAR DRIVE
LISLE, IL60532
SVP & General Counsel
Signatures
Richard E. Bond, Attorney in fact 02/21/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The option became exercisable in three annual installments as follows: 343 shares on 2/19/2014; 343 shares on 2/19/2015; and 342 shares on 2/19/2016.
( 2 )The option became exercisable, as to 100% of the shares on 2/19/2016, because the average daily closing price of Navistar's common stock on any established stock exchange or national market system during any 20 consecutive calendar day period between the grant date, 2/19/2013 and the vest date 2/19/2016, exceeded $38.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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