Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-05-05 00:00:00 ET · period of report 2023-05-03 · accession 0001062993-23-010376 · 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 | GARCIA TUNON ALVARO | Dir | M - OptEx | $0.00 | +40.2K | 40.2K | New | $0 |
| DM | 2023-05-05 | 2023-05-03 | ALSN | GARCIA TUNON ALVARO | Dir | M - OptEx | $0.00 | -40.2K | 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 | 40,218 | $0.00 | 40,218 | 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 37,424 DSUs and 2,794 related dividend equivalents. |
| 2 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 1,413 | $0.00 | 0 | D | — · — to — | 1,413 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 February 17, 2016, the reporting person was granted 1,413 DSUs that vested on May 12, 2016. |
| 3 | Derivative | Dividend Equivalent Rights | 2023-05-03 | M | D | 2,794 | $0.00 | 0 | D | — · — to — | 2,794 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 | 787 | $0.00 | 0 | D | — · — to — | 787 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 March 31, 2016, the reporting person was granted 787 DSUs that vested on March 31, 2016. |
| 5 | 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. (F8) On May 13, 2016, the reporting person was granted 3,628 DSUs that vested on May 12, 2017. |
| 6 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 751 | $0.00 | 0 | D | — · — to — | 751 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 August 12, 2016, the reporting person was granted 751 DSUs that vested on Augut 12, 2016. |
| 7 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 683 | $0.00 | 0 | D | — · — to — | 683 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 November 11, 2016, the reporting person was granted 683 DSUs that vested on November 11, 2016. |
| 8 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 563 | $0.00 | 0 | D | — · — to — | 563 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 February 10, 2017, the reporting person was granted 563 DSUs that vested on February 10, 2017. |
| 9 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 621 | $0.00 | 0 | D | — · — to — | 621 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 11, 2017, the reporting person was granted 621 DSUs that vested on May 11, 2017. |
| 10 | 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. (F13) On May 12, 2017, the reporting person was granted 3,185 DSUs that vested on May 10, 2018. |
| 11 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 648 | $0.00 | 0 | D | — · — to — | 648 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 August 11, 2017, the reporting person was granted 648 DSUs that vested on August 11, 2017. |
| 12 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 548 | $0.00 | 0 | D | — · — to — | 548 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 November 10, 2017, the reporting person was granted 548 DSUs that vested on November 10, 2017. |
| 13 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 570 | $0.00 | 0 | D | — · — to — | 570 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. (F16) On February 12, 2018, the reporting person was granted 570 DSUs that vested on February 12, 2018. |
| 14 | 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. (F17) On May 10, 2018, the reporting person was granted 2,859 DSUs that vested on May 9, 2019. |
| 15 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 566 | $0.00 | 0 | D | — · — to — | 566 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. (F18) On May 10, 2018, the reporting person was granted 566 DSUs that vested on May 10, 2018. |
| 16 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 518 | $0.00 | 0 | D | — · — to — | 518 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. (F19) On August 10, 2018, the reporting person was granted 518 DSUs that vested on August 10, 2018. |
| 17 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 514 | $0.00 | 0 | D | — · — to — | 514 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. (F20) On November 12, 2018, the reporting person was granted 514 DSUs that vested on November 12, 2018. |
| 18 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 504 | $0.00 | 0 | D | — · — to — | 504 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. (F21) On February 11, 2019, the reporting person was granted 504 DSUs that vested on February 11, 2019. |
| 19 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 551 | $0.00 | 0 | D | — · — to — | 551 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. (F22) On May 8, 2019 the reporting person was granted 551 DSUs that vested on May 8, 2019. |
| 20 | 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. (F23) On May 9, 2019, the reporting person was granted 2,880 DSUs that vested on May 6, 2020. |
| 21 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 635 | $0.00 | 0 | D | — · — to — | 635 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. (F24) On August 9, 2019, the reporting person was granted 635 DSUs that vested on August 9, 2019. |
| 22 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 588 | $0.00 | 0 | D | — · — to — | 588 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. (F25) On November 8, 2019, the reporting person was granted 588 DSUs that vested on November 8, 2019. |
| 23 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 636 | $0.00 | 0 | D | — · — to — | 636 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. (F26) On February 10, 2020, the reporting person was granted 636 DSUs that vested on February 10, 2020. |
| 24 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 771 | $0.00 | 0 | D | — · — to — | 771 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. (F27) On May 6, 2020, the reporting person was granted 771 DSUs that vested on May 6, 2020. |
| 25 | 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. (F28) On May 7, 2020, the reporting person was granted 3,600 DSUs that vested on May 5, 2021. |
| 26 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 733 | $0.00 | 0 | D | — · — to — | 733 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. (F29) On August 7, 2020, the reporting person was granted 733 DSUs that vested on August 7, 2020. |
| 27 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 726 | $0.00 | 0 | D | — · — to — | 726 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. (F30) On November 6, 2020, the reporting person was granted 726 DSUs that vested on November 6, 2020. |
| 28 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 627 | $0.00 | 0 | D | — · — to — | 627 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. (F31) On February 8, 2021, the reporting person was granted 627 DSUs that vested on February 8, 2021. |
| 29 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 646 | $0.00 | 0 | D | — · — to — | 646 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. (F32) On May 5, 2021, the reporting person was granted 646 DSUs that vested on May 5, 2021. |
| 30 | 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. (F33) On May 6, 2021, the reporting person was granted 2,927 DSUs that vested on May 4, 2022. |
| 31 | 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. (F34) On May 5, 2022, the reporting person was granted 3,746 DSUs that vested on May 3, 2023. |