0001062993-22-003062.txt : 20220208 0001062993-22-003062.hdr.sgml : 20220208 20220208153514 ACCESSION NUMBER: 0001062993-22-003062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220204 FILED AS OF DATE: 20220208 DATE AS OF CHANGE: 20220208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RABAUT THOMAS W CENTRAL INDEX KEY: 0001241605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 22600922 MAIL ADDRESS: STREET 1: C/O CYTEC INDUSTRIES INC STREET 2: 5 GARRET MOUNTAIN PLAZA CITY: WEST PATERSON STATE: NJ ZIP: 07424 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Allison Transmission Holdings Inc CENTRAL INDEX KEY: 0001411207 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE ALLISON WAY CITY: Indianapolis STATE: IN ZIP: 46222 BUSINESS PHONE: (317) 242-5000 MAIL ADDRESS: STREET 1: ONE ALLISON WAY CITY: Indianapolis STATE: IN ZIP: 46222 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-02-04 0001411207 Allison Transmission Holdings Inc ALSN 0001241605 RABAUT THOMAS W C/O ALLISON TRANSMISSION HOLDINGS, INC. ONE ALLISON WAY INDIANAPOLIS IN 46222 1 0 0 0 Common Stock 2022-02-04 4 A 0 550 0 A 1151 D Common Stock 63163 I Thomas Willi Rabaut Living Trust DTD 7/23/1999 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. The number of shares of common stock received was calculated based on $38.58, which was the closing price of the Company's common stock on the date of grant. The number of shares reported as indirectly held includes: (1) 7,000 shares that were purchased by the Reporting Person on March 20, 2012 by the Reporting Person's living trust that were incorrectly included in the directly held total, (2) 3,211 shares received as part of the Reporting Person's annual equity award on May 8, 2014, that were inadvertently not included in the total number of shares owned by the Reporting Person and were subsequently transferred to the Reporting Person's living trust on November 10, 2021, and (3) 5,475 shares that were purchased by the Reporting Person on November 12, 2021, via the Reporting Person's living trust but were incorrectly reported as being directly held. /s/ Jacalyn C. Bolles, attorney-in-fact 2022-02-08