Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2022-03-15 00:00:00 ET · period of report 2022-03-11 · accession 0001062993-22-007719 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-03-15 | 2022-03-11 | ALSN | Dick Michael | SVP, Ops, Purchasing | M - OptEx | — | +3,831 | 64.7K | +6% | — |
| D | 2022-03-15 | 2022-03-11 | ALSN | Dick Michael | SVP, Ops, Purchasing | F - Tax | $38.92 | -1,099 | 63.6K | -2% | -$42.8K |
| DM | 2022-03-15 | 2022-03-11 | ALSN | Dick Michael | SVP, Ops, Purchasing | M - OptEx | $0.00 | -3,831 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-03-11 | M | A | 3,633 | — | 64,495 | D | — | — | (F1) Settlement of restricted stock units ("RSUs") granted on February 25, 2019. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Pursuant to the reporting person's agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Operations, and Purchasing of ALSN on March 11, 2022. The remaining RSUs were cancelled. |
| 2 | Common | Common Stock | 2022-03-11 | M | A | 198 | — | 64,693 | D | — | — | (F2) 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. |
| 3 | Common | Common Stock | 2022-03-11 | F | D | 1,099 | $38.92 | 63,594 | D | — | — | (F3) Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs. |
| 4 | Derivative | Restricted Stock Units | 2022-03-11 | M | D | 3,633 | $0.00 | 0 | D | — · — to — | 3,633 Common Stock | (F1) Settlement of restricted stock units ("RSUs") granted on February 25, 2019. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Pursuant to the reporting person's agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Operations, and Purchasing of ALSN on March 11, 2022. The remaining RSUs were cancelled. |
| 5 | Derivative | Dividend Equivalent Rights | 2022-03-11 | M | D | 198 | $0.00 | 0 | D | — · — to — | 198 Common Stock | (F2) 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. |