SEC Form 4 · accession 0001411207-18-000018
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Coll
Officer — SVP, Global MSS
Period of report
Nov 8, 2017
Accepted (ET)
Feb 9, 2018 · 3:33 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 8, 2017 | G | 4,846 | $0.00 | D | 0 | D | |
| Common Stock | Nov 8, 2017 | G | 4,846 | $0.00 | A | 4,846 | I | By John Coll Living Trust dated 5/2/2005 |
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)F2 | $43.30 | Feb 7, 2018 | A | 11,223 | A | — | Feb 7, 2028 | Common Stock | 11,223 | 11,223 | D |
| Restricted Stock UnitsF3,F4 | — | Feb 7, 2018 | A | 3,741 | A | — | — | Common Stock | 3,741 | 3,741 | D |
Explanation of responses
- F1Represents transfer of shares to John Coll Living Trust dated 5/2/2005.
- F2The option vests on February 7, 2021.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of Allison Transmission Holdings, Inc. common stock.
- F4The RSUs vest on February 7, 2021.