SEC Form 4 · accession 0001411207-16-000439
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
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:29 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 StockF1 | Dec 1, 2016 | M | 3,535 | — | A | 45,257 | D | |
| Common StockF2 | Dec 1, 2016 | F | 1,119 | $33.72 | D | 44,138 | D | |
| Common StockF3 | Dec 1, 2016 | M | 198 | — | A | 44,336 | D | |
| Common StockF4 | Dec 1, 2016 | F | 63 | $33.72 | D | 44,273 | 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 RightsF5 | $33.17 | Nov 30, 2016 | A | 56 | A | — | — | Common Stock | 56 | 449 | D |
| Restricted Stock UnitsF1 | — | Dec 1, 2016 | M | 3,535 | D | — | — | Common Stock | 3,535 | 0 | D |
| Dividend Equivalent RightsF3 | — | Dec 1, 2016 | M | 198 | D | — | — | Common Stock | 198 | 251 | D |
Explanation of responses
- 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 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.