1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli Funds, LLC I.D. No. 13-4044523
|
||
2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
00-Funds of investment advisory clients
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) X
|
||
6
|
Citizenship or place of organization
New York
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
1,041,435 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
1,041,435 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
1,041,435 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
||
13
|
Percent of class represented by amount in row (11)
1.51%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Asset Management, Inc. I.D. No. 13-4044521
|
||
2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
00-Funds of investment advisory clients
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
|
||
6
|
Citizenship or place of organization
New York
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
2,321,077 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
2,523,677 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
2,523,677 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
||
13
|
Percent of class represented by amount in row (11)
3.65%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Teton Advisors, Inc. I.D. No. 13-4008049
|
||
2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
00 – Funds of investment advisory clients
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
|
||
6
|
Citizenship or place of organization
Delaware
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
1,100 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
1,100 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
1,100 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
||
13
|
Percent of class represented by amount in row (11)
0.00%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GGCP, Inc. I.D. No. 13-3056041
|
||
2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
None
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
|
||
6
|
Citizenship or place of organization
Wyoming
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
None (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
None (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
None (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS) X
|
||
13
|
Percent of class represented by amount in row (11)
0.00%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
HC, CO
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Investors, Inc. I.D. No. 13-4007862
|
||
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
|||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
WC
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
|
||
6
|
Citizenship or place of organization
New York
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
1,870 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
1,870 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
1,870 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS) X
|
||
13
|
Percent of class represented by amount in row (11)
0.00%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
HC, CO
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Mario J. Gabelli
|
||
2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
||
3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
Private Funds
|
||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
|
||
6
|
Citizenship or place of organization
USA
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
10,000 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
10,000 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
10,000 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS) X
|
||
13
|
Percent of class represented by amount in row (11)
0.01%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
IN
|
Name
|
Shares of
Common Stock
|
% of Class of
Common
|
Shares of Common
Plus Convertible Senior Note
Converted
|
% of
Common Plus Convertible Senior Note
Converted
|
GAMCO
|
2,521,490
|
3.65%
|
2,523,677
|
3.65%
|
Gabelli Funds
|
1,029,500
|
1.49%
|
1,041,435
|
1.51%
|
Teton Advisors
Mario J. Gabelli
GBL
|
1,100
10,000
875
|
0.00%
0.01%
0.00%
|
1,100
10,000
1,870
|
0.00%
0.01%
0.00%
|
Exhibit A:
|
Joint Filing Agreement
|
Exhibit B:
|
Powers of Attorney to Douglas R. Jamieson from Mario J. Gabelli individually and/or as an executive officer or director of any entity of which Mr. Gabelli serves.
|
The following sets forth as to each of the executive officers and directors of the undersigned: his name; his business address; his present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted. Unless otherwise specified, the principal employer of each such individual is GAMCO Asset Management Inc., Gabelli Funds, LLC, Gabelli Securities, Inc., Gabelli & Company, Inc., Teton Advisors, Inc., or GAMCO Investors, Inc., the business address of each of which is One Corporate Center, Rye, New York 10580, and each such individual identified below is a citizen of the United States. To the knowledge of the undersigned, during the last five years, no such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), and no such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities law or finding any violation with respect to such laws except as reported in Item 2(d) and (e) of this Schedule 13D.
|
GGCP, Inc.
Directors:
|
||
Mario J. Gabelli
|
Chief Executive Officer of GGCP, Inc., and Chairman & Chief Executive Officer of GAMCO Investors, Inc.; Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC.
|
|
Marc J. Gabelli
|
Chairman of The LGL Group, Inc.
2525 Shader Road
Orlando, FL 32804
|
|
Matthew R. Gabelli
|
Vice President – Trading
Gabelli & Company, Inc.
One Corporate Center
Rye, NY 10580
|
|
Charles C. Baum
|
Secretary & Treasurer
United Holdings Co., Inc.
2545 Wilkens Avenue
Baltimore, MD 21223
|
|
Fredric V. Salerno
|
Chairman; Former Vice Chairman and Chief Financial Officer
Verizon Communications
|
|
Officers:
|
||
Mario J. Gabelli
|
Chief Executive Officer and Chief Investment Officer
|
|
Marc J. Gabelli
|
President
|
|
Michael G. Chieco
|
Vice President, Chief Financial Officer, Secretary
|
|
Silvio A. Berni
|
Vice President, Assistant Secretary and Controller
|
|
GGCP Holdings LLC
Members:
GGCP, Inc.
Mario J. Gabelli
|
Manager and Member
Member
|
|
GAMCO Investors, Inc.
Directors:
|
||
Edwin L. Artzt
Raymond C. Avansino
Richard L. Bready
|
Former Chairman and Chief Executive Officer
Procter & Gamble Company
900 Adams Crossing
Cincinnati, OH 45202
Chairman & Chief Executive Officer
E.L. Wiegand Foundation
165 West Liberty Street
Reno, NV 89501
Former Chairman and Chief Executive Officer
Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903
|
|
Mario J. Gabelli
Elisa M. Wilson
|
See above
Director
c/o GAMCO Investors, Inc.
One Corporate Center
Rye, NY 10580
|
|
Eugene R. McGrath
|
Former Chairman and Chief Executive Officer
Consolidated Edison, Inc.
4 Irving Place
New York, NY 10003
|
|
Robert S. Prather
|
President & Chief Operating Officer
Gray Television, Inc.
4370 Peachtree Road, NE
Atlanta, GA 30319
|
|
Officers:
|
||
Mario J. Gabelli
|
Chairman and Chief Executive Officer
|
|
Douglas R. Jamieson
Henry G. Van der Eb
Bruce N. Alpert
Agnes Mullady
Robert S. Zuccaro
|
President and Chief Operating Officer
Senior Vice President
Senior Vice President
Senior Vice President
Executive Vice President and Chief Financial Officer
|
|
GAMCO Asset Management Inc.
Directors:
|
||
Douglas R. Jamieson
Regina M. Pitaro
William S. Selby
|
||
Officers:
|
||
Mario J. Gabelli
|
Chief Executive Officer and Chief Investment Officer – Value Portfolios
|
|
Douglas R. Jamieson
Robert S. Zuccaro
|
President
Chief Financial Officer
|
|
Gabelli Funds, LLC
Officers:
|
||
Mario J. Gabelli
|
Chief Investment Officer – Value Portfolios
|
|
Bruce N. Alpert
|
Executive Vice President and Chief Operating Officer
|
|
Agnes Mullady
|
President and Chief Operating Officer – Open End Fund Division
|
|
Robert S. Zuccaro
|
Chief Financial Officer
|
|
Teton Advisors, Inc.
Directors:
|
||
Howard F. Ward
Bruce N. Alpert
Nicholas F. Galluccio
Robert S. Zuccaro
|
Chairman
See above
Chief Executive Officer and President
Chief Financial Officer
|
|
Officers:
|
||
Howard F. Ward
Nicholas F. Galluccio
Robert S. Zuccaro
|
See above
See above
See above
|
|
Gabelli Securities, Inc.
|
||
Directors:
|
||
Robert W. Blake
|
President of W. R. Blake & Sons, Inc.
196-20 Northern Boulevard
Flushing, NY 11358
|
|
Douglas G. DeVivo
|
DeVivo Asset Management Company LLC
P.O. Box 2048
Menlo Park, CA 94027
|
|
Douglas R. Jamieson
|
President
|
Officers:
|
|
Douglas R. Jamieson
Robert S. Zuccaro
|
See above
Chief Financial Officer
|
Gabelli & Company, Inc.
Directors:
|
|
James G. Webster, III
|
Chairman
|
Irene Smolicz
|
Senior Trader
Gabelli & Company, Inc.
|
Officers:
|
|
Daniel Miller
|
Office of the President
|
Bruce N. Alpert
Diane M. LaPointe
Douglas R. Jamieson
|
Vice President - Mutual Funds
Treasurer
Secretary
|
Gabelli Foundation, Inc.
Officers:
|
|
Mario J. Gabelli
|
Chairman, Trustee & Chief Investment Officer
|
Elisa M. Wilson
Marc J. Gabelli
Matthew R. Gabelli
Michael Gabelli
|
President
Trustee
Trustee
Trustee
|
MJG-IV Limited Partnership
Officers:
|
|
Mario J. Gabelli
|
General Partner
|
SCHEDULE II
|
|||||||||
INFORMATION WITH RESPECT TO
|
|||||||||
TRANSACTIONS EFFECTED DURING THE PAST SIXTY DAYS OR
|
|||||||||
SINCE THE MOST RECENT FILING ON SCHEDULE 13D (1)
|
|||||||||
SHARES PURCHASED AVERAGE
|
|||||||||
DATE SOLD(-) PRICE(2)
|
|||||||||
|
|||||||||
COMMON STOCK-NAVISTAR INTERNATIONAL CORPORATION
|
|||||||||
|
|||||||||
MARIO J. GABELLI
|
|||||||||
1/20/12 5,000 39.6988
|
|||||||||
1/12/12 1,000 40.1165
|
|||||||||
1/12/12 1,000 40.1165
|
|||||||||
GAMCO ASSET MANAGEMENT INC.
|
|||||||||
1/26/12 400 43.9467
|
|||||||||
1/25/12 200- 44.0800
|
|||||||||
1/24/12 1,000 42.3240
|
|||||||||
1/24/12 500- 42.3240
|
|||||||||
1/23/12 200 41.1300
|
|||||||||
1/20/12 1,500 38.4793
|
|||||||||
1/20/12 2,000 38.4200
|
|||||||||
1/20/12 4,300 39.0287
|
|||||||||
1/20/12 700 39.1600
|
|||||||||
1/20/12 1,500 38.4867
|
|||||||||
1/19/12 8,500 40.7933
|
|||||||||
1/19/12 3,600 39.6672
|
|||||||||
1/19/12 500 39.5765
|
|||||||||
1/19/12 1,500 39.5753
|
|||||||||
1/19/12 200- 40.1850
|
|||||||||
1/19/12 4,000 40.8173
|
|||||||||
1/18/12 1,000 41.6000
|
|||||||||
1/18/12 7,500 41.6677
|
|||||||||
1/18/12 900 41.7347
|
|||||||||
1/18/12 3,800 41.6013
|
|||||||||
1/17/12 300 40.7000
|
|||||||||
1/17/12 6,500 40.8227
|
|||||||||
1/17/12 500 40.7100
|
|||||||||
1/13/12 2,400 39.9360
|
|||||||||
1/13/12 3,000 39.7393
|
|||||||||
1/13/12 300 39.5000
|
|||||||||
1/13/12 1,500 39.4699
|
|||||||||
1/13/12 300 39.4400
|
|||||||||
1/13/12 500 40.1300
|
|||||||||
1/13/12 500 39.9900
|
|||||||||
1/12/12 300 39.4100
|
|||||||||
1/12/12 500 39.2300
|
|||||||||
1/12/12 1,000 39.6100
|
|||||||||
1/11/12 1,500 40.0087
|
|||||||||
1/11/12 400 39.9500
|
|||||||||
1/11/12 150 39.9300
|
|||||||||
1/11/12 3,300 39.8815
|
|||||||||
1/11/12 400 39.8500
|
|||||||||
1/11/12 300 40.0300
|
|||||||||
1/10/12 3,000 40.8476
|
|||||||||
1/10/12 4,500 40.6409
|
|||||||||
1/10/12 2,800 40.4946
|
|||||||||
1/10/12 5,200 40.3958
|
|||||||||
1/10/12 500 40.0526
|
|||||||||
1/09/12 700 39.1800
|
|||||||||
1/06/12 1,600 39.8150
|
|||||||||
1/06/12 500 39.6600
|
|||||||||
1/06/12 200 39.8250
|
|||||||||
1/06/12 1,000 39.6910
|
|||||||||
1/05/12 500 39.8399
|
|||||||||
1/04/12 500 37.7800
|
|||||||||
1/04/12 500 37.9500
|
|||||||||
1/03/12 3,000 38.5093
|
|||||||||
12/29/11 200 36.8200
|
|||||||||
12/28/11 500- *DO
|
|||||||||
12/28/11 14,300 *DO
|
|||||||||
12/23/11 500 37.9077
|
|||||||||
12/23/11 3,000 37.1946
|
|||||||||
12/22/11 1,400- 37.0150
|
|||||||||
12/22/11 17,500 *DI
|
|||||||||
12/22/11 200 37.1400
|
|||||||||
12/22/11 1,000 37.3739
|
|||||||||
12/22/11 3,500 *DI
|
|||||||||
12/20/11 10,000 39.3087
|
|||||||||
12/19/11 300- 37.2600
|
|||||||||
12/19/11 200- 37.2690
|
|||||||||
12/19/11 200- 37.7000
|
|||||||||
12/16/11 200- 38.1580
|
|||||||||
12/16/11 1,000- *DO
|
|||||||||
12/12/11 300 38.2033
|
|||||||||
12/06/11 600- *DO
|
|||||||||
12/06/11 400 38.7943
|
|||||||||
12/06/11 300 38.7943
|
|||||||||
12/05/11 1,000- 39.9000
|
|||||||||
12/05/11 200- 39.9450
|
|||||||||
12/02/11 300 40.1400
|
|||||||||
12/01/11 120- *DO
|
|||||||||
12/01/11 400 38.1899
|
|||||||||
11/30/11 100 37.5000
|
|||||||||
11/30/11 250- 37.4460
|
|||||||||
11/29/11 1,000- *DO
|
|||||||||
11/28/11 300 35.2500
|
|||||||||
11/28/11 200- 35.1950
|
|||||||||
11/28/11 510- *DO
|
|||||||||
TETON ADVISORS, INC.
|
|||||||||
12/09/11 200- 38.1850
|
|||||||||
GABELLI FUNDS, LLC.
|
|||||||||
GABELLI VALUE FUND
|
|||||||||
1/20/12 3,000 39.0287
|
|||||||||
1/10/12 1,500 40.3958
|
|||||||||
GAMCO STRATEGIC VALUE
|
|||||||||
1/18/12 500 41.4700
|
|||||||||
1/13/12 500 40.1200
|
|||||||||
1/11/12 500 40.0000
|
|||||||||
1/10/12 2,500 40.6200
|
|||||||||
GABELLI SMALL CAP GROWTH FUND
|
|||||||||
12/20/11 20,000 39.0341
|
|||||||||
GABELLI VERTUMNUS FUND
|
|||||||||
1/20/12 1,000 38.9940
|
|||||||||
GABELLI EQUITY INCOME FUND
|
|||||||||
1/20/12 13,500 39.0287
|
|||||||||
1/10/12 5,000 40.3958
|
|||||||||
GABELLI DIVIDEND & INCOME TRUST
|
|||||||||
1/20/12 8,500 39.0287
|
|||||||||
1/09/12 10,000 38.6647
|
|||||||||
11/30/11 900 37.0200
|
|||||||||
GABELLI ENTERPRISE M&A FUND
|
|||||||||
1/20/12 3,000 38.7660
|
|||||||||
|
|||||||||
(1) UNLESS OTHERWISE INDICATED, ALL TRANSACTIONS WERE EFFECTED
|
|||||||||
ON THE NYSE.
|
|||||||||
|
|||||||||
(2) PRICE EXCLUDES COMMISSION.
|
|||||||||
|
|||||||||
(*) RESULTS IN CHANGE OF DISPOSITIVE POWER AND BENEFICIAL OWNERSHIP.
|
|||||||||
MARIO J. GABELLI
GGCP, INC.
MJG ASSOCIATES, INC.
GABELLI FOUNDATION, INC.
MJG-IV LIMITED PARTNERSHIP
By:/s/ Douglas R. Jamieson
Douglas R. Jamieson
Attorney-in-Fact
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GABELLI FUNDS, LLC
TETON ADVISORS, INC.
GABELLI & COMPANY, INC.
By: /s/ Bruce N. Alpert
Bruce N. Alpert
Chief Operating Officer – Gabelli Funds, LLC
Director – Teton Advisors, Inc.
Vice President – Gabelli & Company, Inc.
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GAMCO ASSET MANAGEMENT INC.
GAMCO INVESTORS, INC.
GABELLI SECURITIES, INC.
By:/s/ Douglas R. Jamieson
Douglas R. Jamieson
President & Chief Operating Officer – GAMCO Investors, Inc.
President – GAMCO Asset Management Inc.
Vice President – Gabelli Securities, Inc.
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