SEC Form 4 · accession 0001411207-18-000038
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric C. Scroggins
Officer — VP, Gen. Counsel and Secretary
Period of report
Feb 19, 2018
Accepted (ET)
Feb 21, 2018 · 3:36 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 19, 2018 | M | 2,235 | — | A | 20,061 | D | |
| Common StockF2 | Feb 19, 2018 | M | 125 | — | A | 20,186 | D | |
| Common StockF3 | Feb 19, 2018 | F | 1,233 | $39.32 | D | 18,953 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Feb 19, 2018 | M | 2,235 | D | — | — | Common Stock | 2,235 | 0 | D |
| Dividend Equivalent RightsF2 | — | Feb 19, 2018 | M | 125 | D | — | — | Common Stock | 125 | 141 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") granted on February 19, 2015. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
- F2Settlement of dividend equivalent rights ("DERs"). 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.
- F3Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of performance shares, DERs and RSUs.