Scroggins Eric C.'s Form 4 filing
Allison Transmission Holdings Inc (ALSN) · filed Feb 28, 2023
- Accession no.
- 0001062993-23-005206
- Filed
- Feb 28, 2023
- Trade date
- Feb 25-27, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market sales total $434.9K. It was filed 3 days after the trade.
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 |
|---|---|
| Scroggins Eric C.CIK 0001543507 | Officer (VP, Gen. Counsel & Secretary) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 25, 2023 | Common Stock | MOption exerciseAcquired | +2,254 | –F1 | – | 7,260 | Direct | |
| Feb 25, 2023 | Common Stock | MOption exerciseAcquired | +133 | –F2 | – | 7,393 | Direct | |
| Feb 25, 2023 | Common Stock | FTax withholdingDisposed | −706 | $47.54 | −$33,563.24 | 6,687 | Direct | |
| Feb 27, 2023 | Common Stock | MOption exerciseAcquired | +6,761 | $43.24 | +$292,345.64 | 13,448 | Direct | |
| Feb 27, 2023 | Common Stock | MOption exerciseAcquired | +3,181 | $39.42 | +$125,395.02 | 16,629 | Direct | |
| Feb 27, 2023 | Common Stock | SSaleDisposed | −9,121 | $47.68F4 | −$434,889.28 | 7,508 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 25, 2023 | Common Stock | MOption exerciseDisposed | −2,254 | $0.00 | $0 | 0 | Direct | |
| Feb 25, 2023 | Common Stock | MOption exerciseDisposed | −133 | $0.00 | $0 | 79 | Direct | |
| Feb 27, 2023 | Common Stock | MOption exerciseDisposed | −6,761 | $0.00 | $0 | 0 | Direct | |
| Feb 27, 2023 | Common Stock | MOption exerciseDisposed | −3,181 | $0.00 | $0 | 6,363 | 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.
- F1
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.
Referenced by the price of 1 transaction in Table I.
- F2
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.
- F4
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.
Referenced by the price of 1 transaction in Table I.