0001209191-12-019609.txt : 20120322 0001209191-12-019609.hdr.sgml : 20120322 20120322165508 ACCESSION NUMBER: 0001209191-12-019609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120320 FILED AS OF DATE: 20120322 DATE AS OF CHANGE: 20120322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ONEX CORP CENTRAL INDEX KEY: 0000937226 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709757 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: P O BOX 700 CITY: TORONTO ONTARIO CANA STATE: A6 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: P O BOX 700 CITY: TORONTO ONTARIO CANA STATE: A6 FORMER NAME: FORMER CONFORMED NAME: ONEX CORP ET AL DATE OF NAME CHANGE: 19950209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ GERALD W CENTRAL INDEX KEY: 0001275599 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709756 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 BUSINESS ADDRESS: STREET 1: 4700 West 10th Street CITY: Indianapolis STATE: IN ZIP: 46222 BUSINESS PHONE: (317) 242-5000 MAIL ADDRESS: STREET 1: 4700 West 10th Street CITY: Indianapolis STATE: IN ZIP: 46222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Onex American Holdings II LLC CENTRAL INDEX KEY: 0001297368 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709755 BUSINESS ADDRESS: STREET 1: 421 LEADER STREET CITY: MARION STATE: OH ZIP: 43302 BUSINESS PHONE: (416) 362-7711 MAIL ADDRESS: STREET 1: 421 LEADER STREET CITY: MARION STATE: OH ZIP: 43302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAH Wind LLC CENTRAL INDEX KEY: 0001381649 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709750 BUSINESS ADDRESS: STREET 1: 424 LEADER STREET CITY: MARION STATE: OH ZIP: 43302 BUSINESS PHONE: 212-582-2211 MAIL ADDRESS: STREET 1: 424 LEADER STREET CITY: MARION STATE: OH ZIP: 43302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Onex American Holdings Subco LLC CENTRAL INDEX KEY: 0001544358 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709751 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 BUSINESS PHONE: (416) 874-1213 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Onex American Holdings GP LLC CENTRAL INDEX KEY: 0001544361 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709754 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 BUSINESS PHONE: (416) 874-1213 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Allison Executive Investco II LLC CENTRAL INDEX KEY: 0001544362 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709752 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 BUSINESS PHONE: (416) 874-1213 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Allison Executive Investco LLC CENTRAL INDEX KEY: 0001544370 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709753 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 BUSINESS PHONE: (416) 874-1213 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Onex Allison Holding Ltd S.A.R.L. CENTRAL INDEX KEY: 0001544397 STATE OF INCORPORATION: N4 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35456 FILM NUMBER: 12709749 BUSINESS ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 BUSINESS PHONE: (416) 874-1212 MAIL ADDRESS: STREET 1: 161 BAY STREET STREET 2: 48TH FLOOR CITY: TORONTO STATE: A6 ZIP: M5J 2S1 4 1 c28041_4x1.xml MAIN DOCUMENT DESCRIPTION X0304 4 2012-03-20 0001411207 Allison Transmission Holdings Inc ALSN 0000937226 ONEX CORP C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001275599 SCHWARTZ GERALD W C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001297368 Onex American Holdings II LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001544361 Onex American Holdings GP LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001544370 Allison Executive Investco LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001544362 Allison Executive Investco II LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001544358 Onex American Holdings Subco LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001381649 OAH Wind LLC C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 0001544397 Onex Allison Holding Ltd S.A.R.L. C/O ONEX CORPORATION 161 BAY STREET TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 Common Stock 2012-03-20 4 S 0 15007500 21.74 D 75348749 I See footnotes Includes: (i) 34,064,491 shares of common stock held by Onex Partners II LP; (ii) 22,901,322 shares of common stock held by Onex Allison Holding Limited S.a R.L.; (iii) 16,057,930 shares of common stock held by Onex Allison Co-Invest LP; (iv) 641,740 shares of common stock held by Onex US Principals LP; and (v) 320,170 shares of common stock held by Onex Partners II GP LP. Onex Corporation may be deemed to beneficially own the common stock held by (a) Onex Partners II LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Partners II LP; (b) Onex Allison Holding Limited S.a R.L., through Onex Corporation's ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of each of Allison Executive Investco LLC, which owns all of the equity of Allison Executive Investco II LLC, and Onex American Holdings Subco LLC, which owns all of the equity of OAH Wind LLC, which OAH Wind LLC and Allison Executive Investco II LLC own all of the equity of Onex Allison Holding Limited S.a R.L.; (continued) (c) Onex Allison Co-Invest LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Allison Co-Invest LP; (d) Onex US Principals LP, through Onex Corporation's ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of Onex American Holdings GP LLC, the general partner of Onex US Principals LP; and (e) Onex Partners II GP LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP. Also includes 1,361,911 shares of common stock and 1,185 shares of non-voting common stock held by 1597257 Ontario Inc., an independent entity that is controlled by Mr. Gerald W. Schwartz. Mr. Schwartz, the Chairman, President and Chief Executive Officer of Onex Corporation, owns shares representing a majority of the voting rights of the shares of Onex Corporation and as such may be deemed to own beneficially all of the common stock and non-voting common stock owned beneficially by Onex Corporation. Mr. Schwartz disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Mr. Schwartz has indirect voting and investment control of Onex Corporation. Due to the limitations of the electronic filing system, Onex Partners GP Inc., Onex US Principals LP, Onex Partners II GP LP, Onex Allison Co-Invest LP, Onex Partners II LP, 1597257 Ontario Inc., Onex Advisor III LLC and Onex Advisor Subco LLC are filing a separate Form 4. Exhibit List: Exhibit 99 - Joint Filer Information /s/ Andrea E. Daly, Authorized Person 2012-03-22 EX-99 2 c28041_99.htm ADDITIONAL EXHIBITS Joint Filer Information
Exhibit 99
Joint Filer Information
     
Date of Event
Requiring Statement:
   
March 20, 2012
 
    
Issuer Name and Ticker
or Trading Symbol:
   
Allison Transmission Holdings, Inc. [ALSN]
 
    
Designated Filer:
  Onex Corporation
 
    
Other Joint Filers:
  Gerald W. Schwartz
Onex American Holdings II LLC
Onex American Holdings GP LLC
Allison Executive Investco LLC
Allison Executive Investco II LLC
Onex American Holdings Subco LLC
OAH Wind LLC
Onex Allison Holding Limited S.á.R.L.
Onex US Principals LP
Onex Partners GP Inc.
Onex Partners II GP LP
Onex Allison Co-Invest LP
Onex Partners II LP
1597257 Ontario Inc.
Onex Advisor III LLC
Onex Advisor Subco LLC
Addresses:
  The address of each of the reporting persons is c/o Onex Corporation, 161 Bay Street, Toronto, ON M5J 2S1.
Signatures:
Dated: March 22, 2012
         
    ONEX CORPORATION
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    GERALD W. SCHWARTZ
 
        
 
  By:   /s/ Gerald W. Schwartz
 
       
 
  Name:   Gerald W. Schwartz
 
        
    ONEX AMERICAN HOLDINGS II LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX AMERICAN HOLDINGS GP LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ALLISON EXECUTIVE INVESTCO LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ALLISON EXECUTIVE INVESTCO II LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX AMERICAN HOLDINGS SUBCO LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    OAH WIND LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX ALLISON HOLDING LIMITED S.Á.R.L.
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
 
        
    ONEX US PRINCIPALS LP
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX PARTNERS GP INC.
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX PARTNERS II GP LP
 
        
    By Onex Partners GP Inc., General Partner
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX ALLISON CO-INVEST LP
 
        
    By Onex Partners II GP LP, General Partner
    By Onex Partners Manager LP, its Agent
    By Onex Partners Manager GP ULC, its General Partner
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX PARTNERS II LP
 
        
    By Onex Partners II GP LP, General Partner
    By Onex Partners Manager LP, its Agent
    By Onex Partners Manager GP ULC, its General Partner
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    1597257 ONTARIO INC.
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX ADVISOR III LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
        
    ONEX ADVISOR SUBCO LLC
 
        
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person