SEC Form 4 · accession 0001411207-19-000038
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Dick
Officer — SVP, Ops and Purchasing
Period of report
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 2:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411207
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $49.60 | Feb 20, 2019 | A | 11,702 | A | — | Feb 20, 2029 | Common Stock | 11,702 | 11,702 | D |
| Restricted Stock UnitsF2,F3 | — | Feb 20, 2019 | A | 3,901 | A | — | — | Common Stock | 3,901 | 3,901 | D |
| Performance Stock UnitsF5,F4,F6 | — | Feb 20, 2019 | A | 11,218 | A | — | — | Common Stock | 11,218 | 11,218 | D |
Explanation of responses
- F1The option vests on February 20, 2022.
- F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of Allison Transmission Holdings, Inc. common stock.
- F3The RSUs vest on February 20, 2022.
- F4Each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of Allison Transmission Holdings, Inc. common stock.
- F5On February 17, 2016, the reporting person was granted PSUs with the number of PSUs earned to be determined based on the extent to which certain performance conditions were met for a performance period of 2016-2018. As determined on February 20, 2019, based on the Company's actual performance for 2016-2018, the reporting person earned 11,218 PSUs.
- F6Earned PSUs will vest on February 28, 2019.