Statement of Changes in Beneficial Ownership (4)
January 10 2020 - 12:38PM
Edgar (US Regulatory)
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 OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BARKLEY MICHAEL T |
2. Issuer Name and Ticker or Trading Symbol
PACCAR INC
[
PCAR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
SR. VICE PRESIDENT/CONTROLLER |
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(Last)
(First)
(Middle)
777 106TH AVENUE NE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/8/2020 |
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(Street)
BELLEVUE, WA 98004
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| COMMON STOCK | | | | | | | | 24091 | D |
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| COMMON STOCK (ESPP) (1) | | | | | | | | 5.85 | D |
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| COMMON STOCK (SIP) (2) | | | | | | | | 21010.462 | D |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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 |
| STOCK OPTION (3) | $47.81 | | | | | | | 1/1/2016 | 2/6/2023 | COMMON STOCK | 11728 | | 11728 | D |
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| STOCK OPTION (3) | $59.15 | | | | | | | 1/1/2017 | 2/7/2024 | COMMON STOCK | 9236 | | 9236 | D |
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| STOCK OPTION (3) | $62.46 | | | | | | | 1/1/2018 | 2/4/2025 | COMMON STOCK | 8562 | | 8562 | D |
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| STOCK OPTION (3) | $50.00 | | | | | | | 1/1/2019 | 2/4/2026 | COMMON STOCK | 17368 | | 17368 | D |
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| STOCK OPTION (3) | $67.63 | | | | | | | 1/1/2020 | 2/7/2027 | COMMON STOCK | 12324 | | 12324 | D |
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| STOCK OPTION (3) | $68.69 | | | | | | | 1/1/2021 | 2/7/2028 | COMMON STOCK | 11372 | | 11372 | D |
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| STOCK OPTION (3) | $65.56 | | | | | | | 1/1/2022 | 2/6/2029 | COMMON STOCK | 15786 | | 15786 | D |
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| COMMON STOCK (DCP) (4) | (4) | 1/8/2020 | | J (5) | | 29.132 | | (4) | (4) | COMMON STOCK | 29.132 | $78.96 | 1029.241 | D |
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| STOCK UNITS (LTIP) (6) | (6) | | | | | | | (6) | (6) | COMMON STOCK | 2700 | | 2700 | D |
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| Explanation of Responses: |
| (1) | Shares held in PACCAR Inc Employee Stock Purchase Plan (ESPP). |
| (2) | Shares held in PACCAR Savings Investment Plan (SIP). |
| (3) | Option to buy awarded under PACCAR LTIP. |
| (4) | 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 vesting conditions. |
| (5) | Dividend on share units held in deferred phantom stock account under DCP reinvested pursuant to DCP. |
| (6) | Restricted stock units awarded under LTIP and convertible to common stock on a one-for-one basis upon satisfaction of all applicable vesting conditions. Each award vests in four equal installments commencing on March 1 following the award and January 1 of the next three years. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BARKLEY MICHAEL T
777 106TH AVENUE NE
BELLEVUE, WA 98004 |
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| SR. VICE PRESIDENT/CONTROLLER |
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Signatures
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| Michael T. Barkley | | 1/9/2020 |
| **Signature of Reporting Person | Date |
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