SEC Form 4 · accession 0001411207-16-000441
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence E. Dewey
Officer — Chairman and CEO
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:32 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 | 14,985 | $33.72 | D | 346,407 | 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 RightsF2 | $33.17 | Nov 30, 2016 | A | 184 | A | — | — | Common Stock | 184 | 849 | D |
Explanation of responses
- F1Represents the withholding of restricted stock to satisfy tax withholding obligations upon vesting of shares of restricted stock granted on February 18, 2014.
- F2The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.