SEC Form 4 · accession 0001411207-15-000022
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael G. Headly
Officer — SVP, Global MSS
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 5:17 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 | Feb 19, 2015 | A | 4,571 | $0.00 | A | 44,311 | D | |
| Common Stock | Feb 19, 2015 | M | 19,190 | $12.66 | A | 63,501 | D | |
| Common StockF3 | Feb 19, 2015 | S | 19,190 | $32.1301 | D | 44,311 | 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 | $32.13 | Feb 19, 2015 | A | 9,142 | A | — | Feb 18, 2025 | Common Stock | 9,142 | 9,142 | D |
| Employee Stock Option (right to buy)F5 | $12.66 | Feb 19, 2015 | M | 19,190 | D | — | Sep 30, 2017 | Common Stock | 19,190 | 52,699 | D |
Explanation of responses
- F1Represents a grant of restricted stock, which vests on February 19, 2018.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $32.0000 to $32.1950. 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.
- F4The option vests on February 19, 2018.
- F5The option vested in five equal annual installments beginning on August 7, 2008.