Thomas W. Rabaut - 03 May 2023 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
Director
Signature
/s/ Eric C. Scroggins, attorney-in-fact
Issuer symbol
ALSN
Transactions as of
03 May 2023
Transactions value $
$0
Form type
4
Filing time
05 May 2023, 18:03:47
Previous filing
21 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALSN Common Stock Award $0 +447 +7.22% $0.00 6.64K 03 May 2023 Direct F1, F2
transaction ALSN Common Stock Options Exercise $0 +1.12K +16.9% $0.00 7.76K 03 May 2023 Direct F3, F4
transaction ALSN Common Stock Options Exercise $0 +3.82K +49.26% $0.00 11.6K 03 May 2023 Direct F5, F6
holding ALSN Common Stock 63.2K 03 May 2023 Thomas Willi Rabaut Living Trust DTD 7/23/1999

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALSN Deferred Stock Units Options Exercise $0 -309 -100% $0.00* 0 03 May 2023 Common Stock 309 Direct F7, F8
transaction ALSN Dividend Equivalent Rights Options Exercise $0 -148 -100% $0.00* 0 03 May 2023 Common Stock 148 Direct F9, F10
transaction ALSN Deferred Stock Units Options Exercise $0 -281 -100% $0.00* 0 03 May 2023 Common Stock 281 Direct F7, F11
transaction ALSN Deferred Stock Units Options Exercise $0 -232 -100% $0.00* 0 03 May 2023 Common stock 232 Direct F7, F12
transaction ALSN Deferred Stock Units Options Exercise $0 -229 -100% $0.00* 0 03 May 2023 Common Stock 229 Direct F7, F13
transaction ALSN Restricted Stock Units Options Exercise $0 -3.75K -100% $0.00* 0 03 May 2023 Common Stock 3.75K Direct F14, F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Thomas W. Rabaut is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
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.
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.
F5 Settlement of restricted stock units ("RSUs") and related dividend equivalents.
F6 Includes 77 dividend equivalents.
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.
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.
F11 On November 11, 2016, the reporting person was granted 281 DSUs that vested on November 11, 2016.
F12 On February 10, 2017, the reporting person was granted 232 DSUs that vested on February 10, 2017.
F13 On May 11, 2017, the reporting person was granted 229 DSUs that vested on May 11, 2017.
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.