SEC Form 4 · accession 0001411207-19-000058
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 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:10 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 28, 2019 | M | 11,218 | — | A | 50,714 | D | |
| Common StockF2 | Feb 28, 2019 | F | 3,207 | $49.70 | D | 47,507 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF1 | — | Feb 28, 2019 | M | 11,218 | D | — | — | Common Stock | 11,218 | 0 | D |
Explanation of responses
- F1Settlement of performance-based restricted stock units ("PSUs") granted on February 17, 2016. Each PSU 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 PSUs.