SEC Form 4 · accession 0001411207-16-000437

Allison Transmission Holdings Inc · ALSN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP, Gen. Counsel and Secretary

Period of report

Nov 30, 2016

Accepted (ET)

Dec 2, 2016 · 4:26 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
Common Stock^F1	Dec 1, 2016	M	2,660	—	A	16,743	D
Common Stock^F2	Dec 1, 2016	F	863	$33.72	D	15,880	D
Common Stock^F3	Dec 1, 2016	M	148	—	A	16,028	D
Common Stock^F4	Dec 1, 2016	F	48	$33.72	D	15,980	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Dividend Equivalent Rights^F5	$33.17	Nov 30, 2016	A	35	A	—	—	Common Stock	35	302	D
Restricted Stock Units^F1	—	Dec 1, 2016	M	2,660	D	—	—	Common Stock	2,660	0	D
Dividend Equivalent Rights^F3	—	Dec 1, 2016	M	148	D	—	—	Common Stock	148	154	D

F1Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
F2Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs.
F3Settlement of dividend equivalent rights ("DERs"). The DERs accrued when and as dividends were paid on ALSN common stock and vest proportionately with the RSU to which they relate. Each DER is the economic equivalent of one share of ALSN common stock.
F4Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.
F5The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER is the economic equivalent of one share of ALSN common stock.