Graziosi David S.'s Form 4 filing
Allison Transmission Holdings Inc (ALSN) · filed Mar 2, 2023
- Accession no.
- 0001415889-23-003804
- Filed
- Mar 2, 2023
- Trade date
- Feb 28-Mar 1, 2023
- Filing delay
- 2 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 $4.82M. It was filed 2 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 |
|---|---|
| Graziosi David S.CIK 0001543492 | Director, Officer (PRESIDENT AND CEO) |
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 28, 2023 | Common Stock | MOption exerciseAcquired | +5,270 | $32.13 | +$169,325.1 | 226,629 | Direct | |
| Feb 28, 2023 | Common Stock | SSaleDisposed | −8,625 | $47.61F1 | −$410,636.25 | 218,004 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseAcquired | +13,420 | $32.13 | +$431,184.6 | 231,424 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseAcquired | +27,778 | $23.59 | +$655,283.02 | 259,202 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseAcquired | +17,219 | $37.11 | +$638,997.09 | 276,421 | Direct | |
| Mar 1, 2023 | Common Stock | SSaleDisposed | −91,528 | $48.20F2 | −$4,411,649.6 | 184,893 | 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 28, 2023 | Common Stock | MOption exerciseDisposed | −5,270 | $0.00 | $0 | 13,420 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseDisposed | −13,420 | $0.00 | $0 | 0 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseDisposed | −27,778 | $0.00 | $0 | 0 | Direct | |
| Mar 1, 2023 | Common Stock | MOption exerciseDisposed | −17,219 | $0.00 | $0 | 8,453 | 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
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $47.6000 to $47.6950. 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.
- F2
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $48.0000 to $48.5529. 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.