SEC Form 4 · accession 0001411207-18-000132
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S. Graziosi
Officer — President and CEO
Period of report
May 31, 2018
Accepted (ET)
Jun 4, 2018 · 3:34 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 31, 2018 | M | 20,471 | — | A | 210,945 | D | |
| Common Stock | May 31, 2018 | F | 9,024 | $41.31 | D | 201,921 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF4 | — | May 31, 2018 | A | 173 | A | — | — | Common Stock | 173 | 1,394 | D |
| Restricted Stock UnitsF1 | — | May 31, 2018 | M | 20,000 | D | — | — | Common Stock | 20,000 | 0 | D |
| Dividend Equivalent RightsF2 | — | May 31, 2018 | M | 471 | D | — | — | Common Stock | 471 | 923 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") granted on December 21, 2016. Each RSU represents the right to receive one share of Allison Transmission Holdings, Inc. (the "Company") common stock.
- F2Settlement of dividend equivalent rights ("DERs"). The DERs accrued when and as dividends were paid on the Company's common stock and vest proportionately with the RSU to which they relate. Each DER is the economic equivalent of one share of Company common stock.
- F3Represents shares withheld to satisfy tax withholding obligations upon vesting of RSUs and DERs.
- F4The DERs accrued on previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER is the economic equivalent of one share of Company common stock.