Stanley A. Askren - 03 May 2023 Form 4 Insider Report for Allison Transmission Holdings Inc (ALSN)

Reporting relationship: Director
Issuer ticker: ALSN
Reported as of: 03 May 2023
Net transaction value: $0
SEC form: 4
Accepted by SEC: 05 May 2023, 18:08:47 UTC
Prior SEC filing: 01 May 2023
Next SEC filing: 17 May 2023
Source filing: View source filing
Reporting owner signature: /s/Eric C. Scroggins, Attorney-in-Fact

Key filing fact

Stanley A. Askren filed Form 4 for Allison Transmission Holdings Inc (ALSN) on 05 May 2023.

Key facts

This page summarizes Stanley A. Askren's Form 4 filing for Allison Transmission Holdings Inc (ALSN).
9 reported transactions and 7 derivative rows are listed below.
Accepted by SEC: 05 May 2023, 18:08.

Change

Previous filing in this sequence was filed on 01 May 2023.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ALSN transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +8,536
Change %: +144%
Price: $0.000000
Shares after: 14,448
Date: 03 May 2023
Ownership: Direct
Footnotes: F1, F2

ALSN transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +3,823
Change %: +26%
Price: $0.000000
Shares after: 18,271
Date: 03 May 2023
Ownership: Direct
Footnotes: F3, F4

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ALSN transaction Derivative

Deferred Stock Units

Options Exercise

Transaction value: $0
Shares: -2,880
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,880
Exercise price
Footnotes: F5, F6

ALSN transaction Derivative

Dividend Equivalent Rights

Options Exercise

Transaction value: $0
Shares: -591
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 591
Exercise price
Footnotes: F7, F8

ALSN transaction Derivative

Deferred Stock Units

Options Exercise

Transaction value: $0
Shares: -454
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 454
Exercise price
Footnotes: F5, F9

ALSN transaction Derivative

Deferred Stock Units

Options Exercise

Transaction value: $0
Shares: -492
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 492
Exercise price
Footnotes: F5, F10

ALSN transaction Derivative

Deferred Stock Units

Options Exercise

Transaction value: $0
Shares: -596
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 596
Exercise price
Footnotes: F5, F11

ALSN transaction Derivative

Deferred Stock Units

Options Exercise

Transaction value: $0
Shares: -3,600
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,600
Exercise price
Footnotes: F5, F12

ALSN transaction Derivative

Restricted Stock Units

Options Exercise

Transaction value: $0
Shares: -3,746
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 03 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,746
Exercise price
Footnotes: F13, F14

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Stanley A. Askren is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 14 footnotes

Footnote F1

Represents the deferred stock units ("DSUs") and related dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2023 annual meeting of stockholders and his term ended on May 3, 2023.

Footnote F2

Includes 8,022 DSUs and 514 related dividend equivalents.

Footnote F3

Settlement of restricted stock units ("RSUs") and related dividend equivalents.

Footnote F4

Includes 77 dividend equivalents.

Footnote F5

Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

Footnote F6

On May 9, 2019, the reporting person was granted 2,880 DSUs that vested on May 6, 2020.

Footnote F7

Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

Footnote F8

The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 3, 2023, the date of the reporting person's separation from service.

Footnote F9

On November 8, 2019, the reporting person was granted 454 DSUs that vested on November 8, 2019.

Footnote F10

On February 10, 2020, the reporting person was granted 492 DSUs that vested on February 10, 2020.

Footnote F11

On May 6, 2020, the reporting person was granted 596 DSUs that vested on May 6, 2020.

Footnote F12

On May 7, 2020, the reporting person was granted 3,600 DSUs that vested on May 5, 2021.

Footnote F13

Each RSU represents a contingent right to receive one share of the Company's common stock.

Footnote F14

On May 5, 2022, the reporting person was granted 3,746 RSUs that vested on May 3, 2023.