SEC Form 4 · accession 0001411207-19-000062
Allison Transmission Holdings Inc · ALSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric C. Scroggins
Officer — VP, Gen. Counsel and Secretary
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:17 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 | 5,878 | — | A | 26,913 | D | |
| Common StockF2 | Feb 28, 2019 | F | 1,740 | $49.70 | D | 25,173 | 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 | 5,878 | D | — | — | Common Stock | 5,878 | 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.