Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2024-02-27 00:00:00 ET · period of report 2024-02-20 · accession 0001062993-24-004602 · 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 | 2024-02-27 | 2024-02-20+ | ALSN | Graziosi David S. | COB, Pres, CEO, Dir | M - OptEx | $43.13 | +91.7K | 201.8K | +83% | +$3.95M |
| D | 2024-02-27 | 2024-02-24 | ALSN | Graziosi David S. | COB, Pres, CEO, Dir | F - Tax | $74.63 | -6,775 | 134.1K | -5% | -$505.6K |
| D | 2024-02-27 | 2024-02-20 | ALSN | Graziosi David S. | COB, Pres, CEO, Dir | S - Sale+OE | $70.57 | -76.3K | 125.5K | -38% | -$5.39M |
| DM | 2024-02-27 | 2024-02-20+ | ALSN | Graziosi David S. | COB, Pres, CEO, Dir | M - OptEx | $0.00 | -91.7K | 1,091 | -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 | 2024-02-24 | M | A | 593 | — | 140,839 | D | — | — | (F3) 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. |
| 2 | Common | Common Stock | 2024-02-24 | F | D | 6,775 | $74.63 | 134,064 | D | — | — | (F4) Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs and RSUs. |
| 3 | Common | Common Stock | 2024-02-20 | S | D | 76,318 | $70.57 | 125,479 | D | — | — | (F1) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $70.0292 to $70.9800. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("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 | 2024-02-24 | M | A | 14,767 | — | 140,246 | D | — | — | (F2) Settlement of restricted stock units ("RSUs") granted on February 24, 2022. Each RSU represents a contingent right to receive one share of ALSN common stock. |
| 5 | Common | Common Stock | 2024-02-20 | M | A | 76,318 | $43.13 | 201,797 | D | — | — | |
| 6 | Derivative | Restricted Stock Units | 2024-02-24 | M | D | 14,767 | $0.00 | 14,767 | D | — · — to — | 14,767 Common Stock | (F1) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $70.0292 to $70.9800. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("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. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2024-02-20 | M | D | 76,318 | $0.00 | 38,160 | D | $43.13 · — to 2031-02-10 | 76,318 Common Stock | (F5) The option vested in three equal annual installments beginning on February 10, 2022. |
| 8 | Derivative | Dividend Equivalent Rights | 2024-02-24 | M | D | 593 | $0.00 | 1,091 | D | — · — to — | 593 Common Stock | (F2) Settlement of restricted stock units ("RSUs") granted on February 24, 2022. Each RSU represents a contingent right to receive one share of ALSN common stock. |