SEC Form 4 · accession 0001411207-18-000099
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Raborn
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 4:17 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,F3 | May 10, 2018 | M | 3,233 | $0.00 | A | 3,233 | D | |
| Common Stock | holding | — | — | — | 169,947 | I | By Francis Raborn Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | May 10, 2018 | M | 3,185 | D | — | — | Common Stock | 3,185 | 0 | D |
| Dividend Equivalent RightsF6,F7 | — | May 10, 2018 | M | 48 | D | — | — | Common Stock | 48 | 0 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") and related dividend equivalents.
- F2Includes 48 dividend equivalents
- F3The 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.
- F4Each RSU represents a contingent right to receive one share of the Company's common stock
- F5On May 12, 2017, the reporting person was granted 3,185 RSUs that vested on May 10, 2018.
- F6Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
- F7The dividend equivalent rights accrued on previously awarded RSUs and vested on May 10, 2018.