Form Type: 4

SEC EDGAR Link
Accession Number:0001062993-23-018801
Date:2023-10-01
Issuer: ALLISON TRANSMISSION HOLDINGS INC (ALSN)
Original Submission Date:

Reporting Person:

BASSO RAFAEL
C/O ALLISON TRANSMISSION HOLDINGS, INC.
ONE ALLISON WAY INDIANAPOLIS, IN 46222

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-10-01 M 232 a $0.00 3,080 direct
COMMON STOCK 2023-10-01 M 8 a $0.00 3,088 direct
COMMON STOCK 2023-10-01 F 70 d $59.06 3,018 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2023-10-01 deemed execution date M 232 (d) common stock 232 $0.00 232 direct
DIVIDEND EQUIVALENT RIGHTS 0.0 2023-10-01 deemed execution date M 8 (d) common stock 8 $0.00 133 direct
Footnotes
IDfootnote
f1 settlement of restricted stock units ("rsus") granted on october 1, 2021. each rsu represents a contingent right to receive one share of allison transmission holdings, inc. ("alsn") common stock.
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.
f3 represents shares withheld by alsn to satisfy tax withholding obligations on the vesting of ders and rsus.
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