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