SEC Form 4/A · accession 0001411207-18-000017
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John Coll
Officer — SVP, Global MSS
Period of report
Jul 1, 2017
Accepted (ET)
Feb 9, 2018 · 3:31 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 StockF1 | Jul 1, 2017 | M | 87 | $0.00 | A | 4,874 | D | |
| Common StockF2 | Jul 1, 2017 | F | 28 | $37.51 | D | 4,846 | 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 RightsF1 | — | Jul 1, 2017 | M | 87 | D | — | — | Common Stock | 87 | 210 | D |
Explanation of responses
- F1This amendment is being filed to correct the number of dividend equivalent rights ("DERs") that settled. The DERs accrued when and as dividends were paid on ALSN common stock and vest proportionately with the RSU to which they relate. Each DER is the economic equivalent of one share of ALSN common stock.
- F2Represents corrected number of shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.