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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
STOCK OPTION (3) | $ 12.54 | 11/08/2011 | M | 284,724 | 01/01/2005 | 01/23/2012 | COMMON STOCK | 284,724 | (3) | 0 | D | ||||
STOCK OPTION (3) | $ 13.96 | 01/01/2006 | 01/15/2013 | COMMON STOCK | 248,427 | 248,427 | D | ||||||||
STOCK OPTION (3) | $ 25.31 | 01/01/2007 | 01/15/2014 | COMMON STOCK | 135,067 | 135,067 | D | ||||||||
STOCK OPTION (3) | $ 32.11 | 01/01/2008 | 01/20/2015 | COMMON STOCK | 173,043 | 173,043 | D | ||||||||
STOCK OPTION (3) | $ 32.23 | 01/01/2009 | 01/26/2016 | COMMON STOCK | 147,343 | 147,343 | D | ||||||||
STOCK OPTION (3) | $ 44.56 | 01/01/2010 | 01/31/2017 | COMMON STOCK | 112,266 | 112,266 | D | ||||||||
STOCK OPTION (3) | $ 45.74 | 01/01/2011 | 01/30/2018 | COMMON STOCK | 98,956 | 98,956 | D | ||||||||
STOCK OPTION (3) | $ 30.81 | 01/01/2012 | 01/31/2019 | COMMON STOCK | 194,004 | 194,004 | D | ||||||||
STOCK OPTION (3) | $ 36.12 | 01/01/2013 | 02/02/2020 | COMMON STOCK | 134,492 | 134,492 | D | ||||||||
STOCK OPTION (3) | $ 50.5 | 01/01/2014 | 02/03/2021 | COMMON STOCK | 92,832 | 92,832 | D | ||||||||
COMMON STOCK (LTIP) (4) | (4) | (4) | (4) | COMMON STOCK | 35,520.131 | 35,520.131 | D | ||||||||
COMMON STOCK (DICP) (5) | (5) | (5) | (5) | COMMON STOCK | 88,525.0302 | 88,525.0302 | D | ||||||||
COMMON STOCK (DCP) (6) | (6) | (6) | (6) | COMMON STOCK | 27,063.9442 | 27,063.9442 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PIGOTT MARK C 777 106TH AVENUE NE BELLEVUE, WA 98004 |
X | CHAIRMAN & CEO |
Mark C. Pigott by David C. Anderson POA | 11/09/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Shares held by a corporation in which Reporting Person is a shareholder. Holding is reported voluntarily as Reporting Person is not a controlling shareholder and has no voting or investment power with respect to the Issuer's securities. |
(2) | Shares held in PACCAR Savings Investment Plan (SIP). |
(3) | Option to buy awarded under PACCAR Long Term Incentive Plan (LTIP). |
(4) | Share units held in deferred phantom stock account under LTIP convertible to common stock on a one-for-one basis upon satisfaction of all applicable conditions. |
(5) | Share units held in deferred phantom stock account under PACCAR Deferred Incentive Compensation Plan (DICP) convertible to common stock on a one-for-one basis upon satisfaction of all applicable conditions. |
(6) | Share units held in deferred phantom stock account under PACCAR Deferred Compensation Plan (DCP) convertible to common stock on a one-for-one basis upon satisfaction of all applicable conditions. |