Eric C. Scroggins - Feb 25, 2023 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
VP, Gen. Counsel & Secretary
Signature
/s/ Eric C. Scroggins
Stock symbol
ALSN
Transactions as of
Feb 25, 2023
Transactions value $
-$50,681
Form type
4
Date filed
2/28/2023, 06:38 PM
Previous filing
Feb 27, 2023
Next filing
Mar 21, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALSN Common Stock Options Exercise +2.25K +45.03% 7.26K Feb 25, 2023 Direct F1
transaction ALSN Common Stock Options Exercise +133 +1.83% 7.39K Feb 25, 2023 Direct F2
transaction ALSN Common Stock Tax liability -$33.6K -706 -9.55% $47.54 6.69K Feb 25, 2023 Direct F3
transaction ALSN Common Stock Options Exercise $292K +6.76K +101.11% $43.24 13.4K Feb 27, 2023 Direct
transaction ALSN Common Stock Options Exercise $125K +3.18K +23.65% $39.42 16.6K Feb 27, 2023 Direct
transaction ALSN Common Stock Sale -$435K -9.12K -54.85% $47.68 7.51K Feb 27, 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 Restricted Stock Units Options Exercise $0 -2.25K -100% $0.00* 0 Feb 25, 2023 Common Stock 2.25K Direct F1
transaction ALSN Dividend Equivalent Rights Options Exercise $0 -133 -62.74% $0.00 79 Feb 25, 2023 Common Stock 133 Direct F2
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -6.76K -100% $0.00* 0 Feb 27, 2023 Common Stock 6.76K $43.24 Direct F5
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -3.18K -33.33% $0.00 6.36K Feb 27, 2023 Common Stock 3.18K $39.42 Direct F6
* 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 February 25, 2020. 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.
F4 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $47.5100 to $47.7600. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 The options vested on February 25, 2023.
F6 The options vest in three equal annual installments beginning on February 23, 2023.