SEC Form 4 · accession 0001411207-16-000301
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Rabaut
Director
Period of report
May 12, 2016
Accepted (ET)
May 16, 2016 · 4:34 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 12, 2016 | M | 3,228 | $0.00 | A | 28,201 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | May 12, 2016 | M | 3,162 | D | — | — | Common Stock | 3,162 | 0 | D |
| Dividend Equivalent RightsF6,F7 | — | May 12, 2016 | M | 66 | D | — | — | Common Stock | 66 | 0 | D |
| Restricted Stock UnitsF3,F9,F4,F8 | — | May 13, 2016 | A | 3,628 | A | — | — | Common Stock | 3,628 | 3,628 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") and related dividend equivalents.
- F2Includes 66 dividend equivalents.
- F3The RSUs represent the reporting person's annual equity award under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy ("Policy").
- F4Each RSU represents a contingent right to receive one share of the Company's common stock.
- F5On May 14, 2015, the reporting person was granted 3,162 RSUs that vested on May 12, 2016.
- F6Each dividend equivalent right represents a contingent right to receive one share of the Company's common stock.
- F7The dividend equivalent rights accrued on previously awarded RSUs and vested on May 12, 2016.
- F8The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock.
- F9The number of RSUs received was calculated based on $27.56, which was the closing price of the Company's Common Stock on the date of grant.