Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-05-05 00:00:00 ET · period of report 2023-05-03 · accession 0001062993-23-010372 · 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 | RABAUT THOMAS W | Dir | A - Grant | $0.00 | +447 | 6,639 | +7% | $0 |
| DM | 2023-05-05 | 2023-05-03 | ALSN | RABAUT THOMAS W | Dir | M - OptEx | $0.00 | +4,945 | 11.6K | +74% | $0 |
| DM | 2023-05-05 | 2023-05-03 | ALSN | RABAUT THOMAS W | Dir | M - OptEx | $0.00 | -4,945 | 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 | A | A | 447 | $0.00 | 6,639 | D | — | — | (F1) These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Sixth 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 $47.47, which was the closing price of the Company's common stock on the date of grant. |
| 2 | Common | Common Stock | 2023-05-03 | M | A | 1,122 | $0.00 | 7,761 | D | — | — | (F3) Represents the deferred stock units ("DSUs") and related dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at the Company's 2023 annual meeting of stockholders and his term ended on May 3, 2023. (F4) Includes 1,051 DSUs and 71 related dividend equivalents. |
| 3 | Common | Common Stock | 2023-05-03 | M | A | 3,823 | $0.00 | 11,584 | D | — | — | (F5) Settlement of restricted stock units ("RSUs") and related dividend equivalents. (F6) Includes 77 dividend equivalents. |
| 4 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 281 | $0.00 | 0 | D | — · — to — | 281 Common Stock | (F7) 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 November 11, 2016, the reporting person was granted 281 DSUs that vested on November 11, 2016. |
| 5 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 309 | $0.00 | 0 | D | — · — to — | 309 Common Stock | (F7) 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 August 12, 2016, the reporting person was granted 309 DSUs that vested on August 12, 2016. |
| 6 | Derivative | Dividend Equivalent Rights | 2023-05-03 | M | D | 148 | $0.00 | 0 | D | — · — to — | 148 Common Stock | (F9) Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. (F10) 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. |
| 7 | Derivative | Restricted Stock Units | 2023-05-03 | M | D | 3,746 | $0.00 | 0 | D | — · — to — | 3,746 Common Stock | (F14) Each RSU represents a contingent right to receive one share of the Company's common stock. (F15) On May 5, 2022, the reporting person was granted 3,746 RSUs that vested on May 3, 2023. |
| 8 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 232 | $0.00 | 0 | D | — · — to — | 232 Common stock | (F7) 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 February 10, 2017, the reporting person was granted 232 DSUs that vested on February 10, 2017. |
| 9 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 229 | $0.00 | 0 | D | — · — to — | 229 Common Stock | (F7) 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 11, 2017, the reporting person was granted 229 DSUs that vested on May 11, 2017. |