Filing Details
- Accession Number:
- 0001411207-16-000438
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-02 16:27:38
- Reporting Period:
- 2016-11-30
- Filing Date:
- 2016-12-02
- Accepted Time:
- 2016-12-02 16:27:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1411207 | Allison Transmission Holdings Inc | ALSN | Motor Vehicle Parts & Accessories (3714) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1543488 | L. Sharon Dean | One Allison Way Indianapolis IN 46222 | Vp, Quality And Reliability | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-30 | 5,022 | $23.58 | 12,928 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-30 | 5,022 | $32.92 | 7,906 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-12-01 | 2,450 | $0.00 | 10,356 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-01 | 795 | $33.72 | 9,561 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2016-12-01 | 136 | $0.00 | 9,697 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-01 | 45 | $33.72 | 9,652 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-11-30 | 5,022 | $0.00 | 5,022 | $23.58 |
| Common Stock | Dividend Equivalent Rights | Acquisiton | 2016-11-30 | 31 | $0.00 | 31 | $33.17 |
| Common Stock | Restricted Stock Units | Disposition | 2016-12-01 | 2,450 | $0.00 | 2,450 | $0.00 |
| Common Stock | Dividend Equivalent Rights | Disposition | 2016-12-01 | 136 | $0.00 | 136 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10 | 2023-03-24 | No | 4 | M | Direct | |
| 268 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 132 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
- Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs.
- Settlement 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.
- Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.
- The option vested on December 15, 2015.
- The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock.
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