SEC Form 4 · accession 0001411207-16-000303
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S Ledford
Director
Period of report
May 12, 2016
Accepted (ET)
May 16, 2016 · 4:38 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 | May 12, 2016 | M | 10,649 | $0.00 | A | 10,649 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2 | — | May 12, 2016 | M | 10,469 | D | — | — | Common Stock | 10,469 | 0 | D |
| Dividend Equivalent RightsF3,F4 | — | May 12, 2016 | M | 180 | D | — | — | Common Stock | 180 | 0 | D |
Explanation of responses
- F1Settlement of deferred stock units ("DSUs") and related dividend equivalents.
- F2Each DSU is the economic equivalent of one share of Allison Transmission Holdings, Inc.'s (the "Company") common stock. The DSUs became payable, in common stock, on May 12, 2016, the date of the reporting person's retirement from the Board of Directors.
- F3Each dividend equivalent right represents a contingent right to receive one share of the Company's common stock.
- F4The dividend equivalent rights accrued on previously awarded DSUs and vested on May 12, 2016.