SEC Form 4 · accession 0001411207-17-000148
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tunon Alvaro Garcia
Director
Period of report
Aug 11, 2017
Accepted (ET)
Aug 15, 2017 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411207
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F3,F4,F2 | — | Aug 11, 2017 | A | 648 | A | — | — | Common Stock | 648 | 12,279 | D |
Explanation of responses
- F1These deferred stock units ("DSUs") represent a quarterly payment of the reporting person's annual retainer and other fees under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears.
- F2Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable in common stock or, at the Company's election, cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.
- F3The number of DSUs received was calculated based on $36.57, which was the closing price of the Company's common stock on the date of grant.
- F4The total reported in Column 9 has been adjusted to correct a prior calculation error in the Form 4 filed by the reporting person on May 15, 2017, which understated the total number of deferred stock units held by 621.