Rafael Basso - May 30, 2024 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Signature
/s/ Preston B. Ray, attorney-in-fact
Stock symbol
ALSN
Transactions as of
May 30, 2024
Transactions value $
-$382,972
Form type
4
Date filed
5/31/2024, 04:13 PM
Previous filing
Mar 19, 2024
Next filing
Jun 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALSN Common Stock Options Exercise $77K +2.08K +44.87% $37.11 6.7K May 30, 2024 Direct
transaction ALSN Common Stock Options Exercise $127K +2.93K +43.74% $43.30 9.63K May 30, 2024 Direct
transaction ALSN Common Stock Options Exercise $187K +3.77K +39.1% $49.60 13.4K May 30, 2024 Direct
transaction ALSN Common Stock Options Exercise $167K +3.85K +28.77% $43.24 17.2K May 30, 2024 Direct
transaction ALSN Common Stock Sale -$940K -12.6K -73.19% $74.48 4.62K May 30, 2024 Direct F1

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 -2.08K -100% $0.00* 0 May 30, 2024 Common Stock 2.08K $37.11 Direct F2
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -2.93K -100% $0.00* 0 May 30, 2024 Common Stock 2.93K $43.30 Direct F3
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -3.77K -100% $0.00* 0 May 30, 2024 Common Stock 3.77K $49.60 Direct F4
transaction ALSN Employee Stock Option (right to buy) Options Exercise $0 -3.85K -100% $0.00* 0 May 30, 2024 Common Stock 3.85K $43.24 Direct F5
* 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 This sale was pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 29, 2024.
F2 The option vested on February 22, 2020.
F3 The option vested on February 7, 2021.
F4 The option vested on February 20, 2022.
F5 The option vested on February 25, 2023.