SEC Form 4 · accession 0001411207-18-000188
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 14, 2018
Accepted (ET)
Sep 18, 2018 · 4:07 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 14, 2018 | M | 78,805 | $30.23 | A | 400,133 | D | |
| Common StockF1,F2 | Sep 14, 2018 | S | 78,805 | $51.6107 | D | 321,328 | D | |
| Common Stock | Sep 17, 2018 | M | 60,940 | $32.13 | A | 382,268 | D | |
| Common Stock | Sep 17, 2018 | M | 50,519 | $23.59 | A | 432,787 | D | |
| Common StockF1,F3 | Sep 17, 2018 | S | 111,459 | $51.7689 | 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 | $30.23 | Sep 14, 2018 | M | 78,805 | D | — | May 31, 2020 | Common Stock | 78,805 | 0 | D |
| Employee Stock Option (right to buy)F5 | $32.13 | Sep 17, 2018 | M | 60,940 | D | — | May 31, 2020 | Common Stock | 60,940 | 0 | D |
| Employee Stock Option (right to buy)F6 | $23.59 | Sep 17, 2018 | M | 50,519 | D | — | May 31, 2020 | Common Stock | 50,519 | 29,609 | 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 $51.2700 to $51.8600. 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 $51.4100 to $52.0300. 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 1, 2016.
- F5The option vested on February 19, 2018.
- F6The option vested on May 31, 2018.