SEC Form 4 · accession 0001411207-16-000350
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
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:10 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 | Aug 12, 2016 | A | 663 | $0.00 | A | 35,218 | D | |
| Common StockF3 | holding | — | — | — | 1,187,000 | I | By Areljay, LP | |
| Common StockF3 | holding | — | — | — | 3,936,354 | I | By The Crown Fund | |
| Common StockF3 | holding | — | — | — | 1,762,400 | I | By The Crown Fund II | |
| Common StockF3 | holding | — | — | — | 19,900 | I | By HCNI II, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy. The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.
- F2The number of shares of common stock received was calculated based on $28.24, which was the closing price of the Company's Common Stock on the date of grant.
- F3These 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 investments of such entities, may be deemed to beneficially 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 any other purpose.