SEC Form 4 · accession 0001411207-18-000098
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Harker
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411207
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F3,F2 | — | May 10, 2018 | A | 506 | A | — | — | Common Stock | 506 | 5,271 | D |
| Deferred Stock UnitsF4,F3,F2,F5 | — | May 10, 2018 | A | 2,859 | A | — | — | Common Stock | 2,859 | 8,130 | D |
Explanation of responses
- F1The deferred stock units ("DSUs") represent a quarterly payment of the portion of the reporting person's annual retainer and other fees under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy ("Policy") deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears.
- F2Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election, cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.
- F3The number of DSUs received was calculated based on $41.96, which was the closing price of the Company's common stock on the date of grant.
- F4The DSUs represent the portion of the reporting person's annual equity award under the Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan.
- F5The DSUs vest on the date of the next annual meeting of the stockholders of the Company.