SEC Form 4 · accession 0000899243-17-019282
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Raborn
Director
Period of report
Jul 26, 2017
Accepted (ET)
Jul 28, 2017 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411207
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 26, 2017 | M | 127,322 | $8.44 | A | 127,322 | D | |
| Common StockF1 | holding | — | — | — | 42,625 | I | By Francis Raborn Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $8.44 | Jul 26, 2017 | M | 41,530 | D | — | Feb 20, 2018 | Common Stock | 41,530 | 0 | D |
| Employee Stock Option (right to buy)F2 | $8.44 | Jul 26, 2017 | M | 33,601 | D | — | May 19, 2019 | Common Stock | 33,601 | 0 | D |
| Employee Stock Option (right to buy)F2 | $8.44 | Jul 26, 2017 | M | 38,391 | D | — | Oct 28, 2019 | Common Stock | 38,391 | 0 | D |
| Employee Stock Option (right to buy)F2 | $8.44 | Jul 26, 2017 | M | 13,800 | D | — | Feb 8, 2021 | Common Stock | 13,800 | 0 | D |
Explanation of responses
- F1On June 7, 2017, the reporting person transferred 4,187 shares of Common Stock to the Francis Raborn Revocable Trust.
- F2These options are fully vested.