SEC Form 4 · accession 0000904454-19-000083
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Harker
Director
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 6:17 pm EST
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 StockF2,F3 | Jan 18, 2019 | S | 2,030 | $50.0098 | D | 10,029,085 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11. The sales reported on this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by Ashe Capital Management, LP ("Ashe Capital") and its funds on November 20, 2018.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.02, inclusive. The reporting person undertakes to provide Allison Transmission Holdings Inc, any security holder of Allison Transmission Holdings Inc or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3These shares are beneficially owned by Ashe Capital. Ashe Capital is a registered investment adviser and acts as an investment adviser to various private investment limited partnerships. The reporting person is a member of Ashe GP, LLC, which is Ashe Capital's general partner. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.