Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2023-05-05 00:00:00 ET · period of report 2023-05-03 · accession 0001062993-23-010380 · 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 | 2023-05-05 | 2023-05-03 | ALSN | ASKREN STANLEY A | Dir | M - OptEx | $0.00 | +12.4K | 14.4K | +592% | $0 |
| DM | 2023-05-05 | 2023-05-03 | ALSN | ASKREN STANLEY A | Dir | M - OptEx | $0.00 | -12.4K | 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 | 2023-05-03 | M | A | 3,823 | $0.00 | 18,271 | D | — | — | (F3) Settlement of restricted stock units ("RSUs") and related dividend equivalents. (F4) Includes 77 dividend equivalents. |
| 2 | Common | Common Stock | 2023-05-03 | M | A | 8,536 | $0.00 | 14,448 | D | — | — | (F1) 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 Allison Transmission Holdings, Inc.'s (the "Company") 2023 annual meeting of stockholders and his term ended on May 3, 2023. (F2) Includes 8,022 DSUs and 514 related dividend equivalents. |
| 3 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 454 | $0.00 | 0 | D | — · — to — | 454 Common Stock | (F5) 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 November 8, 2019, the reporting person was granted 454 DSUs that vested on November 8, 2019. |
| 4 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 3,600 | $0.00 | 0 | D | — · — to — | 3,600 Common Stock | (F5) 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 7, 2020, the reporting person was granted 3,600 DSUs that vested on May 5, 2021. |
| 5 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 2,880 | $0.00 | 0 | D | — · — to — | 2,880 Common Stock | (F5) 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. (F6) On May 9, 2019, the reporting person was granted 2,880 DSUs that vested on May 6, 2020. |
| 6 | Derivative | Dividend Equivalent Rights | 2023-05-03 | M | D | 591 | $0.00 | 0 | D | — · — to — | 591 Common Stock | (F7) Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. (F8) 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 | (F13) Each RSU represents a contingent right to receive one share of the Company's common stock. (F14) 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 | 492 | $0.00 | 0 | D | — · — to — | 492 Common Stock | (F5) 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 February 10, 2020, the reporting person was granted 492 DSUs that vested on February 10, 2020. |
| 9 | Derivative | Deferred Stock Units | 2023-05-03 | M | D | 596 | $0.00 | 0 | D | — · — to — | 596 Common Stock | (F5) 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 6, 2020, the reporting person was granted 596 DSUs that vested on May 6, 2020. |