Thomas W. Rabaut - May 5, 2021 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Role
Director
Signature
/s/ Jacalyn C. Bolles, attorney-in-fact
Stock symbol
ALSN
Transactions as of
May 5, 2021
Transactions value $
$0
Form type
4
Date filed
5/7/2021, 04:22 PM
Next filing
Jun 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALSN Common Stock Award $0 +499 +0.99% $0.00 50.8K May 5, 2021 Direct F1, F2
transaction ALSN Common Stock Options Exercise $0 +3.66K +7.21% $0.00 54.5K May 5, 2021 Direct F3, 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 -3.6K -100% $0.00* 0 May 5, 2021 Common Stock 3.6K Direct F5, F6
transaction ALSN Dividend Equivalent Rights Options Exercise $0 -64 -62.14% $0.00 39 May 5, 2021 Common Stock 64 Direct F7, F8
transaction ALSN Restricted Stock Units Award $0 +2.93K $0.00 2.93K May 6, 2021 Common Stock 2.93K Direct F5, F9, F10, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Fifth Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.
F2 The number of shares of common stock received was calculated based on $42.57, which was the closing price of the Company's common stock on the date of grant.
F3 Settlement of restricted stock units ("RSUs") and related dividend equivalent.
F4 Includes 64 dividend equivalents.
F5 Each RSU represents a contingent right to receive one share of the Company's common stock.
F6 On May 6, 2020, the reporting person was granted 3,600 RSUs that vested on May 5, 2021.
F7 Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
F8 The dividend equivalent rights accrued on previously awarded RSUs and vested on May 5,2021.
F9 The RSUs respresent the reporting person's annual equity award under the Policy.
F10 The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock.
F11 The number of RSUs received was calculated based on $44.40, which was the closing price of the Company's common stock on the date of grant.