Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2022-05-06 00:00:00 ET · period of report 2022-05-04 · accession 0001062993-22-011756 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-05-06 | 2022-05-04 | ALSN | RABAUT THOMAS W | Dir | A - Grant | $0.00 | +535 | 1,686 | +46% | $0 |
| D | 2022-05-06 | 2022-05-04 | ALSN | RABAUT THOMAS W | Dir | M - OptEx | $0.00 | +2,985 | 4,671 | +177% | $0 |
| D | 2022-05-06 | 2022-05-05 | ALSN | RABAUT THOMAS W | Dir | A - Grant | $0.00 | +3,746 | 3,746 | New | $0 |
| DM | 2022-05-06 | 2022-05-04 | ALSN | RABAUT THOMAS W | Dir | M - OptEx | $0.00 | -2,985 | 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 | 2022-05-04 | A | A | 535 | $0.00 | 1,686 | D | — | — | (F1) These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Fifth Amended and Restated Non-Employee Director Compensation Policy. The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion. (F2) The number of shares of common stock received was calculated based on $39.69, which was the closing price of the Company's common stock on the date of grant. |
| 2 | Common | Common Stock | 2022-05-04 | M | A | 2,985 | $0.00 | 4,671 | D | — | — | (F3) Settlement of restricted stock units ("RSUs") and related dividend equivalent. (F4) Includes 58 dividend equivalents. |
| 3 | Derivative | Restricted Stock Units | 2022-05-05 | A | A | 3,746 | $0.00 | 3,746 | D | — · — to — | 3,746 Common Stock | (F9) The RSUs represent the reporting person's annual equity award under the Company's Sixth Amended and Restated Non-Employee Director Compensation Policy. (F11) The number of RSUs received was calculated based on $38.70, which was the closing price of the Company's common stock on the date of grant. (F5) Each RSU represents a contingent right to receive one share of the Company's common stock. (F10) The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock. |
| 4 | Derivative | Dividend Equivalent Rights | 2022-05-04 | M | D | 58 | $0.00 | 55 | D | — · — to — | 58 Common Stock | (F7) Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. (F8) The dividend equivalent rights accrued on previously awarded RSUs and vested on May 4, 2022. |
| 5 | Derivative | Restricted Stock Units | 2022-05-04 | M | D | 2,927 | $0.00 | 0 | D | — · — to — | 2,927 Common Stock | (F5) Each RSU represents a contingent right to receive one share of the Company's common stock. (F6) On May 6, 2021, the reporting person was granted 2,927 RSUs that vested on May 4, 2022. |