Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-02-28 00:00:00 ET · period of report 2023-02-25 · accession 0001062993-23-005206 · 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 | 2023-02-28 | 2023-02-25+ | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | M - OptEx | $42.02 | +12.3K | 16.6K | +287% | +$518.0K |
| D | 2023-02-28 | 2023-02-27 | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | S - Sale+OE | $47.68 | -9,121 | 7,508 | -55% | -$434.9K |
| D | 2023-02-28 | 2023-02-25 | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | F - Tax | $47.54 | -706 | 6,687 | -10% | -$33.6K |
| DM | 2023-02-28 | 2023-02-25+ | ALSN | Scroggins Eric C. | VP, Gen. Counsel, Sec | M - OptEx | $0.00 | -12.3K | 79 | -99% | $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 | 2023-02-25 | M | A | 2,254 | — | 7,260 | D | — | — | (F1) Settlement of restricted stock units ("RSUs") granted on February 25, 2020. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. |
| 2 | Common | Common Stock | 2023-02-25 | M | A | 133 | — | 7,393 | 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 | 2023-02-27 | S | D | 9,121 | $47.68 | 7,508 | D | — | — | (F4) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $47.5100 to $47.7600. The reporting person undertakes to provide ALSN 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 | 2023-02-27 | M | A | 6,761 | $43.24 | 13,448 | D | — | — | |
| 5 | Common | Common Stock | 2023-02-27 | M | A | 3,181 | $39.42 | 16,629 | D | — | — | |
| 6 | Common | Common Stock | 2023-02-25 | F | D | 706 | $47.54 | 6,687 | D | — | — | (F3) Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs and RSUs. |
| 7 | Derivative | Restricted Stock Units | 2023-02-25 | M | D | 2,254 | $0.00 | 0 | D | — · — to — | 2,254 Common Stock | (F1) Settlement of restricted stock units ("RSUs") granted on February 25, 2020. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. |
| 8 | Derivative | Employee Stock Option (right to buy) | 2023-02-27 | M | D | 3,181 | $0.00 | 6,363 | D | $39.42 · — to 2032-02-23 | 3,181 Common Stock | (F6) The options vest in three equal annual installments beginning on February 23, 2023. |
| 9 | Derivative | Employee Stock Option (right to buy) | 2023-02-27 | M | D | 6,761 | $0.00 | 0 | D | $43.24 · — to 2030-02-25 | 6,761 Common Stock | (F5) The options vested on February 25, 2023. |
| 10 | Derivative | Dividend Equivalent Rights | 2023-02-25 | M | D | 133 | $0.00 | 79 | D | — · — to — | 133 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. |