SEC Form 4 · accession 0001411207-18-000096
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Rabaut
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 4:13 pm EDT
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,F2 | May 10, 2018 | A | 446 | $0.00 | A | 35,992 | D | |
| Common StockF3,F4 | May 10, 2018 | M | 3,233 | $0.00 | A | 39,225 | 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 UnitsF5,F6 | — | May 10, 2018 | M | 3,185 | D | — | — | Common Stock | 3,185 | 0 | D |
| Divident Equivalent UnitsF7,F8 | — | May 10, 2018 | M | 48 | D | — | — | Common Stock | 48 | 14 | D |
| Restricted Stock UnitsF9,F11,F5,F10 | — | May 10, 2018 | A | 2,859 | A | — | — | Common Stock | 2,859 | 2,859 | D |
Explanation of responses
- F1These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.
- F10The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock.
- F11The number of RSUs received was calculated based on $41.96, which was the closing price of the Company's common stock on the date of grant.
- F2The number of shares of common stock received was calculated based on $41.96, which was the closing price of the Company's common stock on the date of grant.
- F3Settlement of restricted stock units ("RSUs") and related dividend equivalents.
- F4Includes 48 dividend equivalents.
- F5Each RSU represents a contingent right to receive one share of the Company's common stock.
- F6On May 12, 2017, the reporting person was granted 3,185 RSUs that vested on May 10, 2018.
- F7Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
- F8The dividend equivalent rights accrued on previously awarded RSUs and vested on May 10, 2018.
- F9The RSUs represent the reporting person's annual equity award under the Policy.