Ryan A. Milburn - 17 Nov 2022 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
VP, Product Engineering
Signature
/s/ Eric C. Scroggins, attorney-in-fact
Issuer symbol
ALSN
Transactions as of
17 Nov 2022
Net transactions value
-$102,621
Form type
4
Filing time
14 Feb 2023, 15:24:07 UTC
Previous filing
02 Sep 2022
Next filing
02 Dec 2022
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 $104,834 +4,444 +33% $23.59 17,761 17 Nov 2022 Direct
transaction ALSN Common Stock Sale $195,536 -4,444 -25% $44.00 13,317 17 Nov 2022 Direct F1
transaction ALSN Common Stock Options Exercise +743 +5.6% 14,060 10 Feb 2023 Direct F2
transaction ALSN Common Stock Options Exercise +30 +0.21% 14,090 10 Feb 2023 Direct F3
transaction ALSN Common Stock Tax liability $11,919 -263 -1.9% $45.32 13,827 10 Feb 2023 Direct F4

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 Employee Stock Option (right to buy) Options Exercise $0 -4,444 -100% $0.000000* 0 17 Nov 2022 Common Stock 4,444 $23.59 Direct F5
transaction ALSN Restricted Stock Units Options Exercise $0 -743 -50% $0.000000 744 10 Feb 2023 Common Stock 743 Direct F2
transaction ALSN Dividend Equivalent Rights Options Exercise $0 -30 -13% $0.000000 198 10 Feb 2023 Common Stock 30 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
F2 Settlement of restricted stock units ("RSUs") granted on February 10, 2021. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
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.
F4 Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs and RSUs.
F5 The option vested on February 17, 2019.