Milburn Ryan A.'s Form 4 filing
Allison Transmission Holdings Inc (ALSN) · filed Feb 14, 2023
- Accession no.
- 0001062993-23-003409
- Filed
- Feb 14, 2023
- Trade date
- Nov 17, 2022-Feb 10, 2023
- Filing delay
- 89 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $195.5K. It was filed 89 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Milburn Ryan A.CIK 0001543604 | Officer (VP, Product Engineering) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2022 | Common Stock | MOption exerciseAcquired | +4,444 | $23.59 | +$104,833.96 | 17,761 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −4,444 | $44.00 | −$195,536 | 13,317 | Direct | |
| Feb 10, 2023 | Common Stock | MOption exerciseAcquired | +743 | –F2 | – | 14,060 | Direct | |
| Feb 10, 2023 | Common Stock | MOption exerciseAcquired | +30 | –F3 | – | 14,090 | Direct | |
| Feb 10, 2023 | Common Stock | FTax withholdingDisposed | −263 | $45.32 | −$11,919.16 | 13,827 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2022 | Common Stock | MOption exerciseDisposed | −4,444 | $0.00 | $0 | 0 | Direct | |
| Feb 10, 2023 | Common Stock | MOption exerciseDisposed | −743 | $0.00 | $0 | 744 | Direct | |
| Feb 10, 2023 | Common Stock | MOption exerciseDisposed | −30 | $0.00 | $0 | 198 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Settlement of restricted stock units ("RSUs") granted on February 10, 2021. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
Referenced by the price of 1 transaction in Table I.
- F3
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.
Referenced by the price of 1 transaction in Table I.