SEC Form 4 · accession 0001411207-16-000445
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
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 4:01 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 9, 2016 | M | 1,400 | $16.88 | A | 200,261 | D | |
| Common StockF2 | Dec 9, 2016 | S | 1,400 | $35.0328 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $16.88 | Dec 9, 2016 | M | 1,400 | D | — | Nov 13, 2017 | Common Stock | 1,400 | 302,786 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $35.0100 to $35.0400. 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.
- F3The option vested in five equal annual installments beginning on November 13, 2008.