0001062993-23-010372.txt : 20230505
0001062993-23-010372.hdr.sgml : 20230505
20230505180347
ACCESSION NUMBER: 0001062993-23-010372
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230503
FILED AS OF DATE: 20230505
DATE AS OF CHANGE: 20230505
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: 23895303
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
X0407
4
2023-05-03
1
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
0
Common Stock
2023-05-03
4
A
0
447
0
A
6639
D
Common Stock
2023-05-03
4
M
0
1122
0
A
7761
D
Common Stock
2023-05-03
4
M
0
3823
0
A
11584
D
Common Stock
63163
I
Thomas Willi Rabaut Living Trust DTD 7/23/1999
Deferred Stock Units
2023-05-03
4
M
0
309
0
D
Common Stock
309
0
D
Dividend Equivalent Rights
2023-05-03
4
M
0
148
0
D
Common Stock
148
0
D
Deferred Stock Units
2023-05-03
4
M
0
281
0
D
Common Stock
281
0
D
Deferred Stock Units
2023-05-03
4
M
0
232
0
D
Common stock
232
0
D
Deferred Stock Units
2023-05-03
4
M
0
229
0
D
Common Stock
229
0
D
Restricted Stock Units
2023-05-03
4
M
0
3746
0
D
Common Stock
3746
0
D
These shares represent a quarterly payment of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Sixth Amended and Restated Non-Employee Director Compensation 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 $47.47, which was the closing price of the Company's common stock on the date of grant.
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 the Company's 2023 annual meeting of stockholders and his term ended on May 3, 2023.
Includes 1,051 DSUs and 71 related dividend equivalents.
Settlement of restricted stock units ("RSUs") and related dividend equivalents.
Includes 77 dividend equivalents.
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.
On August 12, 2016, the reporting person was granted 309 DSUs that vested on August 12, 2016.
Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
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.
On November 11, 2016, the reporting person was granted 281 DSUs that vested on November 11, 2016.
On February 10, 2017, the reporting person was granted 232 DSUs that vested on February 10, 2017.
On May 11, 2017, the reporting person was granted 229 DSUs that vested on May 11, 2017.
Each RSU represents a contingent right to receive one share of the Company's common stock.
On May 5, 2022, the reporting person was granted 3,746 RSUs that vested on May 3, 2023.
/s/ Eric C. Scroggins, attorney-in-fact
2023-05-05