SEC Form 4 · accession 0000911916-17-000030
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall R. Kirk
Officer — SVP, Prod Eng & Prod Teams
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 4:31 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 Stock | Jan 3, 2017 | M | 3,000 | $8.44 | A | 47,611 | D | |
| Common Stock | Jan 3, 2017 | M | 7,356 | $12.66 | A | 54,967 | D | |
| Common StockF1,F2 | Jan 3, 2017 | S | 5,867 | $33.7457 | D | 49,100 | D |
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)F3 | $8.44 | Jan 3, 2017 | M | 3,000 | D | — | Sep 30, 2017 | Common Stock | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F3 | $12.66 | Jan 3, 2017 | M | 7,356 | D | — | Sep 30, 2017 | Common Stock | 7,356 | 29,634 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan dated November 22, 2016.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.61 to $33.83. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3This option is fully vested.