SEC Form 4 · accession 0001411207-19-000021
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana JH Pittard
Officer — VP, Defense Programs
Period of report
Feb 17, 2019
Accepted (ET)
Feb 20, 2019 · 1:37 pm EST
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 | Feb 17, 2019 | M | 3,205 | — | A | 3,305 | D | |
| Common StockF2 | Feb 17, 2019 | M | 160 | — | A | 3,465 | D | |
| Common StockF3 | Feb 17, 2019 | F | 1,089 | $49.57 | D | 2,376 | D |
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 | — | Feb 17, 2019 | M | 3,205 | D | — | — | Common Stock | 3,205 | 0 | D |
| Dividend Stock UnitsF2 | — | Feb 17, 2019 | M | 160 | D | — | — | Common Stock | 160 | 97 | D |
Explanation of responses
- F1Settlement of restricted stock units ("RSUs") granted on February 17, 2016. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
- F2Settlement 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.
- F3Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs.