SEC Form 4 · accession 0001411207-16-000426
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S. Graziosi
Officer — President, CFO and Treasurer
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:15 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 | Dec 1, 2016 | F | 4,579 | $33.72 | D | 193,861 | D | |
| Common Stock | Dec 1, 2016 | M | 8,496 | $12.66 | A | 202,357 | D | |
| Common Stock | Dec 1, 2016 | M | 18,473 | $16.88 | A | 220,830 | D | |
| Common StockF3 | Dec 1, 2016 | S | 26,969 | $33.4238 | D | 198,861 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF4 | $33.17 | Nov 30, 2016 | A | 63 | A | — | — | Common Stock | 63 | 292 | D |
| Emplolyee Stock Option (right to buy)F5 | $12.66 | Dec 1, 2016 | M | 8,496 | D | — | Nov 13, 2017 | Common Stock | 8,496 | 0 | D |
| Employee Stock Option (right to buy)F5 | $16.88 | Dec 1, 2016 | M | 18,473 | D | — | Nov 13, 2017 | Common Stock | 18,473 | 425,000 | D |
Explanation of responses
- F1Represents the withholding of shares to satisfy tax withholding obligations upon vesting of shares of restricted stock granted on February 18, 2014.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F3This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $33.2500 to $33.6300. 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.
- F4The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.
- F5The option vested in five equal annual installments beginning on November 13, 2008.