SEC Form 4 · accession 0001411207-16-000387
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Dick
Officer — SVP, Ops and Purchasing
Period of report
Oct 25, 2016
Accepted (ET)
Oct 27, 2016 · 4:00 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 Stock | Oct 25, 2016 | M | 24,936 | $16.88 | A | 66,658 | D | |
| Common StockF2 | Oct 25, 2016 | S | 24,936 | $29.116 | D | 41,722 | 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)F3 | $16.88 | Oct 25, 2016 | M | 24,936 | D | — | Oct 1, 2017 | Common Stock | 24,936 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $29.0000 to $29.7750. 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.
- F3The option vested in five equal annual installments beginning on August 7, 2008.