Dana Jh Pittard - 20 Feb 2024 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
VP, Defense Programs
Signature
/s/ Preston B. Ray, attorney-in-fact
Issuer symbol
ALSN
Transactions as of
20 Feb 2024
Net transactions value
-$1,121,382
Form type
4
Filing time
22 Feb 2024, 16:06:51 UTC
Previous filing
13 Feb 2024
Next filing
23 Feb 2024
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 $151,212 +6,410 +153% $23.59 10,597 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $182,915 +4,929 +47% $37.11 15,526 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $268,287 +6,196 +40% $43.30 21,722 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $292,888 +5,905 +27% $49.60 27,627 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $256,716 +5,937 +21% $43.24 33,564 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $296,864 +6,883 +21% $43.13 40,447 20 Feb 2024 Direct
transaction ALSN Common Stock Options Exercise $105,843 +2,685 +6.6% $39.42 43,132 20 Feb 2024 Direct
transaction ALSN Common Stock Sale $506,600 -7,463 -17% $67.88 35,669 20 Feb 2024 Direct F1, F2
transaction ALSN Common Stock Sale $2,169,018 -31,475 -88% $68.91 4,194 20 Feb 2024 Direct F1, F3
transaction ALSN Common Stock Sale $488 -7 -0.17% $69.69 4,187 20 Feb 2024 Direct F1
holding ALSN Common Stock 13,404 20 Feb 2024 Pittard Living Trust

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 -6,410 -100% $0.000000* 0 20 Feb 2024 Common Stock 6,410 $23.59 Direct F4
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -4,929 -100% $0.000000* 0 20 Feb 2024 Common Stock 4,929 $37.11 Direct F5
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -6,196 -100% $0.000000* 0 20 Feb 2024 Common Stock 6,196 $43.30 Direct F6
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -5,905 -100% $0.000000* 0 20 Feb 2024 Common Stock 5,905 $49.60 Direct F7
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -5,937 -100% $0.000000* 0 20 Feb 2024 Common Stock 5,937 $43.24 Direct F8
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -6,883 -100% $0.000000* 0 20 Feb 2024 Common Stock 6,883 $43.13 Direct F9
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -2,685 -33% $0.000000 5,372 20 Feb 2024 Common Stock 2,685 $39.42 Direct F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2023.
F2 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $67.6100 to $68.5600. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("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.
F3 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $68.6200 to $69.6000. 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.
F4 The options vested on February 17, 2019.
F5 The options vested on February 22, 2020.
F6 The options vested on February 7, 2021.
F7 The options vested on February 20, 2022.
F8 The options vested on February 25, 2023.
F9 The options vested in three equal annual installments beginning on February 10, 2022.
F10 The options vest in three equal annual installments beginning on February 23, 2023.