SEC Form 4 · accession 0001411207-16-000398
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon L. Dean
Officer — VP, Quality and Reliability
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 3:48 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 Stock | Nov 11, 2016 | M | 5,000 | $23.58 | A | 12,906 | D | |
| Common Stock | Nov 11, 2016 | S | 5,000 | $30.85 | D | 7,906 | 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)F2 | $23.58 | Nov 11, 2016 | M | 5,000 | D | — | Mar 24, 2023 | Common Stock | 5,000 | 6,310 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2The option vested on December 15, 2015.