SEC Form 4 · accession 0001411207-18-000138
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Coll
Officer — SVP, Global MSS
Period of report
Jul 1, 2018
Accepted (ET)
Jul 3, 2018 · 1:57 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 | Jul 1, 2018 | M | 7,000 | — | A | 7,000 | D | |
| Common StockF2 | Jul 1, 2018 | F | 3,050 | $40.49 | D | 3,950 | D | |
| Common StockF3 | Jul 1, 2018 | M | 197 | — | A | 4,147 | D | |
| Common StockF4 | Jul 1, 2018 | F | 87 | $40.49 | D | 4,060 | D | |
| Common Stock | holding | — | — | — | 4,846 | I | By John Coll Living Trust dated 5/2/2005 |
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 | — | Jul 1, 2018 | M | 7,000 | D | — | — | Common Stock | 7,000 | 7,000 | D |
| Dividend Equivalent RightsF3 | — | Jul 1, 2018 | M | 197 | D | — | — | Common Stock | 197 | 326 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs"). On October 13, 2016, the reporting person was granted 21,000 RSUs, vesting in three equal installments on July 1, 2017, 2018 and 2019. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
- F2Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs.
- F3Settlement 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.
- F4Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.