Rafael Basso - 01 Oct 2023 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
VP, Operations
Signature
/s/ Preston B. Ray, attorney-in-fact
Issuer symbol
ALSN
Transactions as of
01 Oct 2023
Transactions value $
-$4,134
Form type
4
Filing time
03 Oct 2023, 16:18:44
Previous filing
05 Sep 2023
Next filing
04 Dec 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 Options Exercise +232 +8.15% 3.08K 01 Oct 2023 Direct F1
transaction ALSN Common Stock Options Exercise +8 +0.26% 3.09K 01 Oct 2023 Direct F2
transaction ALSN Common Stock Tax liability -$4.13K -70 -2.27% $59.06 3.02K 01 Oct 2023 Direct F3

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 Restricted Stock Units Options Exercise $0 -232 -50% $0.00 232 01 Oct 2023 Common Stock 232 Direct F1
transaction ALSN Dividend Equivalent Rights Options Exercise $0 -8 -5.67% $0.00 133 01 Oct 2023 Common Stock 8 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Settlement of restricted stock units ("RSUs") granted on October 1, 2021. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") 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.
F3 Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs and RSUs.