SEC Form 4 · accession 0000911916-15-000367
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S. Graziosi
Officer — Exec VP, CFO and Treasurer
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 4:11 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 StockF1 | Dec 15, 2015 | M | 12,600 | — | A | 214,988 | D | |
| Common StockF2 | Dec 15, 2015 | F | 5,828 | $25.05 | D | 209,160 | D | |
| Common StockF3 | Dec 15, 2015 | M | 656 | — | A | 209,816 | D | |
| Common StockF4 | Dec 15, 2015 | F | 304 | $25.05 | D | 209,512 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Dec 15, 2015 | M | 12,600 | D | — | — | Common Stock | 12,600 | 0 | D |
| Dividend Equivalent RightsF3 | — | Dec 15, 2015 | M | 656 | D | — | — | Common Stock | 656 | 0 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") granted on March 25, 2013. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
- F2Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs.
- F3Settlement of dividend equivalent rights ("DERs"). The DERs accrued when and as dividends were paid on ALSN common stock and vest proportionately with the RSU to which they relate. Each DER is the economic equivalent of one share of ALSN common stock.
- F4Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.