Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-02-23 00:00:00 ET · period of report 2023-02-21 · accession 0001062993-23-004535 · 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 | 2023-02-23 | 2023-02-21 | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | M - OptEx | $36.58 | +21.4K | 10.9K | New | +$784.5K |
| DM | 2023-02-23 | 2023-02-21 | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | S - Sale+OE | $48.59 | -17.8K | 9,786 | -65% | -$865.1K |
| DM | 2023-02-23 | 2023-02-21 | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | M - OptEx | $0.00 | -21.4K | 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 | 2023-02-21 | M | A | 5,878 | $23.59 | 6,484 | D | — | — | |
| 2 | Common | Common Stock | 2023-02-21 | M | A | 5,787 | $43.30 | 16,672 | D | — | — | |
| 3 | Common | Common Stock | 2023-02-21 | S | D | 5,541 | $49.15 | 4,245 | D | — | — | (F2) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $48.6900 to $49.5250. The reporting person undertakes to provide Allison Transmission Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| 4 | Common | Common Stock | 2023-02-21 | S | D | 12,264 | $48.33 | 9,786 | D | — | — | (F1) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $47.6926 to $48.6800. The reporting person undertakes to provide Allison Transmission Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| 5 | Common | Common Stock | 2023-02-21 | M | A | 5,378 | $43.13 | 22,050 | D | — | — | |
| 6 | Common | Common Stock | 2023-02-21 | M | A | 4,401 | $37.11 | 10,885 | D | — | — | |
| 7 | Derivative | Employee Stock Option (right to buy) | 2023-02-21 | M | D | 5,878 | $0.00 | 0 | D | $23.59 · — to 2026-02-16 | 5,878 Common Stock | (F3) The options vested on February 17, 2019. |
| 8 | Derivative | Employee Stock Option (right to buy) | 2023-02-21 | M | D | 5,787 | $0.00 | 0 | D | $43.30 · — to 2028-02-07 | 5,787 Common Stock | (F5) The options vested on February 7, 2021. |
| 9 | Derivative | Employee Stock Option (right to buy) | 2023-02-21 | M | D | 5,378 | $0.00 | 2,689 | D | $43.13 · — to 2031-02-10 | 5,378 Common Stock | (F6) The options vest in three equal annual intallments beginning on February 10, 2022. |
| 10 | Derivative | Employee Stock Option (right to buy) | 2023-02-21 | M | D | 4,401 | $0.00 | 0 | D | $37.11 · — to 2027-02-21 | 4,401 Common Stock | (F4) The options vested on February 22, 2020. |