Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-05-05 00:00:00 ET · period of report 2023-05-03 · accession 0001062993-23-010370 · 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 | 2023-05-05 | 2023-05-03 | ALSN | Reynolds Richard VanFleet | Dir | M - OptEx | $0.00 | +37.0K | 37.0K | New | $0 |
| DM | 2023-05-05 | 2023-05-03 | ALSN | Reynolds Richard VanFleet | Dir | M - OptEx | $0.00 | -37.0K | 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 | 2023-05-03 | M | A | 37,044 | $0.00 | 37,044 | D | — | — | (F1) Represents the deferred stock units ("DSUs") and dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2023 annual meeting of stockholders and his term ended on May 3, 2023. (F2) Includes 33,521 DSUs and 3,523 related dividend equivalents. |
| 2 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 4,068 | $0.00 | 0 | D | — · — to — | 4,068 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F4) On May 9, 2013, the reporting person was granted 4,068 DSUs that vested on May 8, 2014. |
| 3 | Derivative | Dividend Equivalent Rights | 2023-05-03 | M | D | 3,523 | $0.00 | 0 | D | — · — to — | 3,523 Common Stock | (F5) Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. (F6) The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 3, 2023, the date of the reporting person's separation from service. |
| 4 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,466 | $0.00 | 0 | D | — · — to — | 3,466 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F7) On May 9, 2014, the reporting person was granted 3,466 DSUs that vested on May 14, 2015. |
| 5 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,162 | $0.00 | 0 | D | — · — to — | 3,162 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F8) On May 15, 2015, the reporting person was granted 3,162 DSUs that vested on May 12, 2016. |
| 6 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,628 | $0.00 | 0 | D | — · — to — | 3,628 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F9) On May 13, 2016, the reporting person was granted 3,628 DSUs that vested on May 12, 2017. |
| 7 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,185 | $0.00 | 0 | D | — · — to — | 3,185 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F10) On May 12, 2017, the reporting person was granted 3,185 DSUs that vested on May 10, 2018. |
| 8 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 2,859 | $0.00 | 0 | D | — · — to — | 2,859 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F11) On May 10, 2018, the reporting person was granted 2,859 DSUs that vested on May 9, 2019. |
| 9 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 2,880 | $0.00 | 0 | D | — · — to — | 2,880 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F12) On May 9, 2019, the reporting person was granted 2,880 DSUs that vested on May 6, 2020. |
| 10 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,600 | $0.00 | 0 | D | — · — to — | 3,600 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F13) On May 7, 2020, the reporting person was granted 3,600 DSUs that vested on May 5, 2021. |
| 11 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 2,927 | $0.00 | 0 | D | — · — to — | 2,927 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F14) On May 6, 2021, the reporting person was granted 2,927 DSUs that vested on May 4, 2022. |
| 12 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,746 | $0.00 | 0 | D | — · — to — | 3,746 Common Stock | (F3) Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. (F15) On May 5, 2022, the reporting person was granted 3,746 DSUs that vested on May 3, 2023. |