SEC Form 4 · accession 0001411207-18-000185
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence E. Dewey
Director
Period of report
Sep 12, 2018
Accepted (ET)
Sep 14, 2018 · 4:01 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 Stock | Sep 12, 2018 | M | 158,542 | $23.58 | A | 479,870 | D | |
| Common StockF1,F2 | Sep 12, 2018 | S | 158,542 | $51.6445 | D | 321,328 | D | |
| Common Stock | Sep 13, 2018 | M | 31,858 | $23.58 | A | 353,186 | D | |
| Common Stock | Sep 13, 2018 | M | 72,395 | $30.23 | A | 425,581 | D | |
| Common StockF1,F3 | Sep 13, 2018 | S | 104,253 | $51.5495 | D | 321,328 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $23.58 | Sep 12, 2018 | M | 158,542 | D | — | May 31, 2020 | Common Stock | 158,542 | 31,858 | D |
| Employee Stock Option (right to buy)F4 | $23.58 | Sep 13, 2018 | M | 31,858 | D | — | May 31, 2020 | Common Stock | 31,858 | 0 | D |
| Employee Stock Option (right to buy)F5 | $30.23 | Sep 13, 2018 | M | 72,395 | D | — | May 31, 2020 | Common Stock | 72,395 | 78,805 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $51.2200 to $52.1700. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $51.3400 to $51.9200. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The option vested on December 15, 2015.
- F5The option vested on December 1, 2016.