SEC Form 4 · accession 0001411207-16-000438
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 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:27 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 30, 2016 | M | 5,022 | $23.58 | A | 12,928 | D | |
| Common Stock | Nov 30, 2016 | S | 5,022 | $32.92 | D | 7,906 | D | |
| Common StockF2 | Dec 1, 2016 | M | 2,450 | — | A | 10,356 | D | |
| Common StockF3 | Dec 1, 2016 | F | 795 | $33.72 | D | 9,561 | D | |
| Common StockF4 | Dec 1, 2016 | M | 136 | — | A | 9,697 | D | |
| Common StockF5 | Dec 1, 2016 | F | 45 | $33.72 | D | 9,652 | 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)F6 | $23.58 | Nov 30, 2016 | M | 5,022 | D | — | Mar 24, 2023 | Common Stock | 5,022 | 10 | D |
| Dividend Equivalent RightsF7 | $33.17 | Nov 30, 2016 | A | 31 | A | — | — | Common Stock | 31 | 268 | D |
| Restricted Stock UnitsF2 | — | Dec 1, 2016 | M | 2,450 | D | — | — | Common Stock | 2,450 | 0 | D |
| Dividend Equivalent RightsF4 | — | Dec 1, 2016 | M | 136 | D | — | — | Common Stock | 136 | 132 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2Settlement 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.
- F3Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs.
- F4Settlement 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.
- F5Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.
- F6The option vested on December 15, 2015.
- F7The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock.