SEC Form 4 · accession 0001411207-17-000228
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Raborn
Director
Period of report
Nov 15, 2017
Accepted (ET)
Dec 4, 2017 · 12:48 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 15, 2017 | G | 127,322 | $0.00 | D | 0 | D | |
| Common Stock | Nov 15, 2017 | G | 127,322 | $0.00 | A | 169,947 | I | By Francis Raborn Revocable Trust |
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 | — | Nov 30, 2017 | A | 11 | A | — | — | Common Stock | 11 | 36 | D |
Explanation of responses
- F1Represents transfer of shares to the Francis Raborn Revocable Trust.
- 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 right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.