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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 23.58 | 11/30/2016 | M | 5,022 | (6) | 03/24/2023 | Common Stock | 5,022 | $ 0 | 10 | D | ||||
Dividend Equivalent Rights | $ 33.17 (7) | 11/30/2016 | A | 31 | (7) | (7) | Common Stock | 31 | $ 0 | 268 | D | ||||
Restricted Stock Units | (2) | 12/01/2016 | M | 2,450 | (2) | (2) | Common Stock | 2,450 | $ 0 | 0 | D | ||||
Dividend Equivalent Rights | (4) | 12/01/2016 | M | 136 | (4) | (4) | Common Stock | 136 | $ 0 | 132 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dean Sharon L. ONE ALLISON WAY INDIANAPOLIS, IN 46222 |
VP, Quality and Reliability |
/s/ Eric C. Scroggins, attorney-in-fact | 12/02/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. |
(2) | Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. |
(3) | Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs. |
(4) | 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) | Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs. |
(6) | The option vested on December 15, 2015. |
(7) | The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock. |