Form 4 for ALSN Allison Transmission Holdings Inc
Accepted 2021-08-10 00:00:00 ET · period of report 2021-08-06 · accession 0001411207-21-000139 · 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 | 2021-08-10 | 2021-08-06 | ALSN | Kirk Randall R. | SVP, Prod Eng, Planning | F - Tax | $38.45 | -2,682 | 317.9K | -0.8% | -$103.1K |
| D | 2021-08-10 | 2021-08-06 | ALSN | Kirk Randall R. | SVP, Prod Eng, Planning | M - OptEx | — | +6,117 | 320.6K | +2% | — |
| DM | 2021-08-10 | 2021-08-06 | ALSN | Kirk Randall R. | SVP, Prod Eng, Planning | M - OptEx | $0.00 | -6,117 | 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 | 2021-08-06 | F | D | 2,682 | $38.45 | 317,890 | D | — | — | (F5) Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs. |
| 2 | Common | Common Stock | 2021-08-06 | M | A | 6,117 | — | 320,572 | D | — | — | (F3) Settlement of RSUs granted on February 25, 2020. Each RSU represents the right to receive one share of ALSN common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of ALSN on August 6, 2021. The remaining RSUs were cancelled. (F1) Settlement of restricted stock units ("RSUs") granted on February 20, 2019. Each RSU represents the right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of ALSN on August 6, 2021. The remaining RSUs were cancelled. (F2) 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. (F4) Settlement of RSUs granted on February 10, 2021. Each RSU represents the right to receive one share of ALSN common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of the Company on August 6, 2021. The ramining RSUs were cancelled. |
| 3 | Derivative | Restricted Stock Units | 2021-08-06 | M | D | 2,002 | $0.00 | 0 | D | — · — to — | 2,002 Common Stock | (F3) Settlement of RSUs granted on February 25, 2020. Each RSU represents the right to receive one share of ALSN common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of ALSN on August 6, 2021. The remaining RSUs were cancelled. |
| 4 | Derivative | Dividend Equivalent Rights | 2021-08-06 | M | D | 309 | $0.00 | 0 | D | — · — to — | 309 Common Stock | (F2) 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. |
| 5 | Derivative | Restricted Stock Units | 2021-08-06 | M | D | 3,045 | $0.00 | 0 | D | — · — to — | 3,045 Common Stock | (F1) Settlement of restricted stock units ("RSUs") granted on February 20, 2019. Each RSU represents the right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of ALSN on August 6, 2021. The remaining RSUs were cancelled. |
| 6 | Derivative | Restricted Stock Units | 2021-08-06 | M | D | 761 | $0.00 | 0 | D | — · — to — | 761 Common Stock | (F4) Settlement of RSUs granted on February 10, 2021. Each RSU represents the right to receive one share of ALSN common stock. Pursuant to the reporting person's severance agreement, the reporting person received prorated acceleration of his unvested RSU awards upon his retirement as Senior Vice President, Product Engineering and Planning of the Company on August 6, 2021. The ramining RSUs were cancelled. |