SEC Form 4 · accession 0000911916-17-000217

Allison Transmission Holdings Inc · ALSN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — SVP, Global MSS

Period of report

Jul 1, 2017

Accepted (ET)

Jul 5, 2017 · 4:33 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
Common Stock^F1	Jul 1, 2017	M	7,000	—	A	7,000	D
Common Stock^F2	Jul 1, 2017	F	2,213	$37.51	D	4,787	D
Common Stock^F3	Jul 1, 2017	M	60	—	A	4,847	D
Common Stock^F4	Jul 1, 2017	F	19	$37.51	D	4,828	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	—	Jul 1, 2017	M	7,000	D	—	—	Common Stock	7,000	14,000	D
Dividend Equivalent Rights^F3	—	Jul 1, 2017	M	60	D	—	—	Common Stock	60	237	D

F1Settlement of restricted stock units ("RSUs"). On October 13, 2016, the reporting person was granted 21,000 RSUs, vesting in three equal installments on July 1, 2017, 2018 and 2019. 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.