0001062993-23-005206.txt : 20230228 0001062993-23-005206.hdr.sgml : 20230228 20230228193835 ACCESSION NUMBER: 0001062993-23-005206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230225 FILED AS OF DATE: 20230228 DATE AS OF CHANGE: 20230228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scroggins Eric C. CENTRAL INDEX KEY: 0001543507 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 23688901 MAIL ADDRESS: STREET 1: ONE ALLISON WAY CITY: INDIANAPOLIS STATE: IN ZIP: 46222 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 2023-02-25 0001411207 Allison Transmission Holdings Inc ALSN 0001543507 Scroggins Eric C. C/O ALLISON TRANSMISSION HOLDINGS, INC. ONE ALLISON WAY INDIANAPOLIS IN 46222 0 1 0 0 VP, Gen. Counsel & Secretary Common Stock 2023-02-25 4 M 0 2254 A 7260 D Common Stock 2023-02-25 4 M 0 133 A 7393 D Common Stock 2023-02-25 4 F 0 706 47.54 D 6687 D Common Stock 2023-02-27 4 M 0 6761 43.24 A 13448 D Common Stock 2023-02-27 4 M 0 3181 39.42 A 16629 D Common Stock 2023-02-27 4 S 0 9121 47.6766 D 7508 D Restricted Stock Units 2023-02-25 4 M 0 2254 0 D Common Stock 2254 0 D Dividend Equivalent Rights 2023-02-25 4 M 0 133 0 D Common Stock 133 79 D Employee Stock Option (right to buy) 43.24 2023-02-27 4 M 0 6761 0 D 2030-02-25 Common Stock 6761 0 D Employee Stock Option (right to buy) 39.42 2023-02-27 4 M 0 3181 0 D 2032-02-23 Common Stock 3181 6363 D Settlement of restricted stock units ("RSUs") granted on February 25, 2020. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Settlement of dividend equivalent rights ("DERs"). The DERs accrued when and as dividends were paid on ALSN common stock and vest proportionately with the RSU to which they relate. Each DER is the economic equivalent of one share of ALSN common stock. Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs and RSUs. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $47.5100 to $47.7600. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The options vested on February 25, 2023. The options vest in three equal annual installments beginning on February 23, 2023. /s/ Eric C. Scroggins 2023-02-28