SEC Form 4 · accession 0001411207-18-000022
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric C. Scroggins
Officer — VP, General Counsel & Sec
Period of report
Feb 7, 2018
Accepted (ET)
Feb 9, 2018 · 3:40 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 | Feb 7, 2018 | A | 1,846 | $0.00 | A | 17,826 | 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)F2 | $43.30 | Feb 7, 2018 | A | 5,787 | A | — | Feb 7, 2028 | Common Stock | 5,787 | 5,787 | D |
| Restricted Stock UnitsF3,F4 | — | Feb 7, 2018 | A | 1,929 | A | — | — | Common Stock | 1,929 | 1,929 | D |
Explanation of responses
- F1On February 19, 2015, the reporting person was granted performance-based restricted stock, with the number of restricted shares earned to be determined based on the extent to which certain performance conditions were met for a performance period of 2015-2017. As determined on February 7, 2018, based on the Company's actual performance for 2015-2017, the reporting person earned 1,846 restricted shares. Earned restricted shares will vest on February 19, 2018.
- 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.