SEC Form 4 · accession 0000913849-18-000005
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Star
Director
Period of report
Jan 3, 2018
Accepted (ET)
Jan 5, 2018 · 6:33 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,F2 | Jan 3, 2018 | S | 38,000 | $43.9623 | D | 898,800 | I | By Areljay II LLC |
| Common StockF1,F2 | Jan 3, 2018 | S | 131,660 | $43.9623 | D | 3,034,873 | I | By The Crown Fund |
| Common StockF1,F2 | Jan 3, 2018 | S | 64,000 | $43.9623 | D | 1,470,661 | I | By The Crown Fund II |
| Common StockF1,F2 | Jan 4, 2018 | S | 40,000 | $44.7416 | D | 858,800 | I | By Areljay II LLC |
| Common StockF1,F2 | Jan 4, 2018 | S | 140,720 | $44.7416 | D | 2,894,153 | I | By The Crown Fund |
| Common StockF1,F2 | Jan 4, 2018 | S | 68,500 | $44.7416 | D | 1,402,161 | I | By The Crown Fund II |
| Common StockF1,F2 | Jan 5, 2018 | S | 26,000 | $44.4591 | D | 832,800 | I | By Areljay II LLC |
| Common StockF1,F2 | Jan 5, 2018 | S | 88,955 | $44.4591 | D | 2,805,198 | I | By The Crown Fund |
| Common StockF1,F2 | Jan 5, 2018 | S | 43,000 | $44.4591 | D | 1,359,161 | I | By The Crown Fund II |
| Common StockF2 | holding | — | — | — | 19,900 | I | By HCNI II, LLC | |
| Common Stock | holding | — | — | — | 41,450 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold in compliance with a Rule 10b5-1 sales plan entered into on November 20, 2017.
- F2These shares are held by the identified entities in which trusts established for the benefit of the reporting person's wife and children indirectly own interests. The reporting person is President and Chief Executive Officer of Longview Asset Management, LLC, which, by virtue of managing the investments of such entities, may be deemed to benefically own the shares held by such entities. The reporting person disclaims beneficial ownership of the shares held by these entities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.