Director Lavin Richard P converted options into 31,584 shares, increasing direct ownership by 321% to 41,410 units (SEC Form 4)
$ALSN
Auto Parts:O.E.M.
Consumer Discretionary
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
| Check this box to indicate that a 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). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Allison Transmission Holdings Inc [ ALSN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/07/2025 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock(1) | 05/07/2025 | M | 31,584(1)(2) | A | $0 | 41,410 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 2,859 | (4) | (4) | Common Stock | 2,859 | $0 | 0 | D | ||||
| Dividend Equivalents Rights | (5) | 05/07/2025 | M | 1,888 | (6) | (6) | Common Stock | 1,888 | $0 | 25 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 477 | (7) | (7) | Common Stock | 477 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 473 | (8) | (8) | Common Stock | 473 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 464 | (9) | (9) | Common Stock | 464 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 482 | (10) | (10) | Common Stock | 482 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 2,880 | (11) | (11) | Common Stock | 2,880 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 245 | (12) | (12) | Common Stock | 245 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 227 | (13) | (13) | Common Stock | 227 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 246 | (14) | (14) | Common Stock | 246 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 298 | (15) | (15) | Common Stock | 298 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 3,600 | (16) | (16) | Common Stock | 3,600 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 283 | (17) | (17) | Common Stock | 283 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 280 | (18) | (18) | Common Stock | 280 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 242 | (19) | (19) | Common Stock | 242 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 249 | (20) | (20) | Common Stock | 249 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 2,927 | (21) | (21) | Common Stock | 2,927 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 633 | (22) | (22) | Common Stock | 633 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 689 | (23) | (23) | Common Stock | 689 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 631 | (24) | (24) | Common Stock | 631 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 614 | (25) | (25) | Common Stock | 614 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 3,746 | (26) | (26) | Common Stock | 3,746 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 656 | (27) | (27) | Common Stock | 656 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 577 | (28) | (28) | Common Stock | 577 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 538 | (29) | (29) | Common Stock | 538 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 547 | (30) | (30) | Common Stock | 547 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 3,146 | (31) | (31) | Common Stock | 3,146 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 547 | (32) | (32) | Common Stock | 547 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 614 | (33) | (33) | Common Stock | 614 | $0 | 0 | D | ||||
| Deferred Stock Units | (3) | 05/07/2025 | M | 526 | (34) | (34) | Common Stock | 526 | $0 | 0 | D | ||||
| Explanation of Responses: |
| 1. Represents the deferred stock units ("DSUs") and 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") 2025 annual meeting of stockholders and his term ended on May 7, 2025. |
| 2. Includes 29,696 DSUs and 1,888 related dividend equivalents. |
| 3. 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 change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. |
| 4. On May 10, 2018, the reporting person was granted 2,859 DSUs that vested on May 8, 2019. |
| 5. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. |
| 6. The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 7, 2025, the date of the reporting person's separation from service. |
| 7. On August 10, 2018, the reporting person was granted 477 DSUs that vested on August 10, 2018. |
| 8. On November 12, 2018 the reporting person was granted 473 DSUs that vested on November 12, 2018. |
| 9. On February 11, 2019, the reporting person was granted 464 DSUs that vested on February 11, 2019. |
| 10. On May 8, 2019 the reporting person was granted 482 DSUs that vested on May 8, 2019. |
| 11. On May 9, 2019, the reporting person was granted 2,880 DSUs that vested on May 6, 2020. |
| 12. On August 9, 2019, the reporting person was granted 245 DSUs that vested on August 9, 2019. |
| 13. On November 8, 2019, the reporting person was granted 227 DSUs that vested on November 8, 2019. |
| 14. On February 10, 2020, the reporting person was granted 246 DSUs that vested on February 10, 2020. |
| 15. On May 6, 2020, the reporting person was granted 298 DSUs that vested on May 6, 2020. |
| 16. On May 7, 2020, the reporting person was granted 3,600 DSUs that vested on May 5, 2021. |
| 17. On August 7, 2020, the reporting person was granted 283 DSUs that vested on August 7, 2020. |
| 18. On November 6, 2020, the reporting person was granted 280 DSUs that vested on November 6, 2020. |
| 19. On February 8, 2021, the reporting person was granted 242 DSUs that vested on February 8, 2021. |
| 20. On May 5, 2021, the reporting person was granted 249 DSUs that vested on May 5, 2021. |
| 21. On May 6, 2021, the reporting person was granted 2,927 DSUs that vested on May 4, 2022. |
| 22. On August 6, 2021, the reporting person was granted 633 DSUs that vested on August 6, 2021. |
| 23. On November 5, 2021, the reporting person was granted 689 DSUs that vested on November 5, 2021. |
| 24. On February 4, 2022, the reporting person was granted 631 DSUs that vested on February 4, 2022. |
| 25. On May 4, 2022, the reporting person was granted 614 DSUs that vested on May 4, 2022. |
| 26. On May 5, 2022, the reporting person was granted 3,746 DSUs that vested on May 3, 2023. |
| 27. On August 5, 2022, the reporting person was granted 656 DSUs that vested on August 5, 2022. |
| 28. On November 4, 2022, the reporting person was granted 577 DSUs that vested on November 4, 2022. |
| 29. On February 3, 2023, the reporting person was granted 538 DSUs that vested on February 3, 2023. |
| 30. On May 3, 2023, the reporting person was granted 547 DSUs that vested on May 3, 2023. |
| 31. On May 4, 2023, the reporting person was granted 3,146 DSUs that vested on May 8, 2024. |
| 32. On August 3, 2023, the reporting person was granted 547 DSUs that vested on August 3, 2023. |
| 33. On November 3, 2023, the reporting person was granted 614 DSUs that vested on November 3, 2023. |
| 34. On February 5, 2024, the reporting person was granted 526 DSUs that vested on February 5, 2024. |
| /s/ Preston B. Ray, Attorney-in-Fact | 05/09/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||