SEC Form 4 · accession 0001411207-17-000239
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
Dec 12, 2017
Accepted (ET)
Dec 19, 2017 · 4:51 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 12, 2017 | M | 2,200 | $23.58 | A | 39,131 | D | |
| Common StockF1,F2 | Dec 12, 2017 | S | 4,400 | $42.0311 | D | 34,731 | D | |
| Common Stock | Dec 18, 2017 | M | 2,020 | $23.58 | A | 36,751 | D | |
| Common StockF1,F3 | Dec 18, 2017 | S | 3,820 | $42.0089 | D | 32,931 | D | |
| Common Stock | Dec 19, 2017 | M | 11,380 | $23.58 | A | 44,311 | D | |
| Common StockF1,F4 | Dec 19, 2017 | S | 11,380 | $42.7928 | D | 32,931 | 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)F5 | $23.58 | Dec 12, 2017 | M | 2,200 | D | — | Mar 24, 2023 | Common Stock | 2,200 | 13,400 | D |
| Employee Stock Option (right to buy)F5 | $23.58 | Dec 18, 2017 | M | 2,020 | D | — | Mar 24, 2023 | Common Stock | 2,020 | 11,380 | D |
| Employee Stock Option (right to buy)F5 | $23.58 | Dec 19, 2017 | M | 11,380 | D | — | Mar 24, 2023 | Common Stock | 11,380 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan dated November 6, 2017.
- F2This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $42.0000 to $42.0900. 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.
- F3This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $42.0000 to $42.0500. 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.
- F4This price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $42.1500 to $43.1600. 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.
- F5The option vested on December 15, 2015.