SEC Form 4 · accession 0001411207-15-000012
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence E. Dewey
Officer — Chairman, President & CEO
Period of report
Feb 5, 2015
Accepted (ET)
Feb 6, 2015 · 4:32 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 | Feb 5, 2015 | M | 145,739 | $12.66 | A | 469,162 | D | |
| Common Stock | Feb 5, 2015 | M | 25,800 | $16.88 | A | 494,962 | D | |
| Common StockF2 | Feb 5, 2015 | S | 171,539 | $32.4251 | D | 323,423 | D | |
| Common Stock | Feb 6, 2015 | M | 99,200 | $16.88 | A | 422,623 | D | |
| Common StockF3 | Feb 6, 2015 | S | 99,200 | $32.4895 | D | 323,423 | 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)F4 | $12.66 | Feb 5, 2015 | M | 145,739 | D | — | Sep 30, 2017 | Common Stock | 145,739 | 0 | D |
| Employee Stock Option (right to buy)F4 | $16.88 | Feb 5, 2015 | M | 25,800 | D | — | Sep 30, 2017 | Common Stock | 25,800 | 439,328 | D |
| Employee Stock Option (right to buy)F4 | $16.88 | Feb 6, 2015 | M | 99,200 | D | — | Sep 30, 2017 | Common Stock | 99,200 | 340,128 | D |
Explanation of responses
- F1The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 plan.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.1700 to $32.7000. 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 the footnote.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.2500 to $32.7000. 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 the footnote.
- F4The option vested in five equal installments beginning on August 7, 2008.