LAVIN RICHARD P

SEC source: 0000757011-19-000055 · primary_doc.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 10, 2018, by and among USG Corporation (the "Company"), Gebr. Knauf KG and World Cup Acquisition Corporation, at the effective time of the merger, each share of the Company's common stock held by the reporting person was converted into the right to receive $43.50 in cash, without interest (the "closing consideration").

SEC source: 0001411207-19-000094 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-19-000013 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,240

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $47.07, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001062993-24-007351 · form4a.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,696

Underlying: Common Stock · 464 shares

Expires not disclosed

F1 · security: The reporting person is filing this amendment to the Form 4 originally filed on February 13, 2019, as well as amendments to the Form 4s originally filed on August 14, 2018 and November 14, 2018, solely to reflect that the annual retainer awards reported in such Form 4s were granted to the reporting person in the form of deferred stock units ("DSUs") and not common stock. The subsequent Form 4s filed by the reporting person overstated the reporting person's direct holdings of common stock by an aggregate of 1,414 shares. As of March 28, 2024, the date of this amendment, the reporting person directly holds 9,826 shares of common stock.

F2 · security: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer is payable quarterly in arrears.

F3 · derivative.exercise_price: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F4 · shares: The number of DSUs received was calculated based on $45.82, which was the closing price of the Company's common stock on the date of grant.

F3 · derivative.exercise_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F3 · derivative.expiration_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F5 · balance_after: Represents the total number of DSUs held by the reporting person as of March 28, 2024, the date of this amendment, and reflects all transactions through such date.

SEC source: 0000757011-19-000007 · primary_doc.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,063.7003

Underlying: Common Stock · 3,362.9664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors. Each deferred stock unit represents the right to receive one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F2 · price: Mean of the high and low sales prices of a share of common stock on December 31, 2018.

F1 · derivative.exercise_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors. Each deferred stock unit represents the right to receive one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F1 · derivative.expiration_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors. Each deferred stock unit represents the right to receive one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

SEC source: 0001411207-18-000237 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-18-000208 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,776

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $46.16, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001062993-24-007346 · form4a.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,696

Underlying: Common Stock · 473 shares

Expires not disclosed

F1 · security: The reporting person is filing this amendment to the Form 4 originally filed on November 14, 2018, as well as amendments to the Form 4s originally filed on August 14, 2018 and February 13, 2019, solely to reflect that the annual retainer awards reported in such Form 4s were granted to the reporting person in the form of deferred stock units ("DSUs") and not common stock. The subsequent Form 4s filed by the reporting person overstated the reporting person's direct holdings of common stock by an aggregate of 1,414 shares. As of March 28, 2024, the date of this amendment, the reporting person directly holds 9,826 shares of common stock.

F2 · security: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer is payable quarterly in arrears.

F3 · derivative.exercise_price: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F4 · shares: The number of DSUs received was calculated based on $45.82, which was the closing price of the Company's common stock on the date of grant.

F3 · derivative.exercise_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F3 · derivative.expiration_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F5 · balance_after: Represents the total number of DSUs held by the reporting person as of March 28, 2024, the date of this amendment, and reflects all transactions through such date.

SEC source: 0000757011-18-000098 · primary_doc.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700.7339

Underlying: Common Stock · 19.3816 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F2 · kind: Reflects the reinvestment of dividend equivalents in additional deferred stock units pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors.

F3 · price: Mean of the high and low sales prices of a share of common stock on October 2, 2018.

F1 · derivative.exercise_date: Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F1 · derivative.expiration_date: Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

SEC source: 0000757011-18-000084 · primary_doc.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,681.3523

Underlying: Common Stock · 548.4355 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F2 · price: Mean of the high and low sales prices of a share of common stock on September 28, 2018.

F1 · derivative.exercise_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F1 · derivative.expiration_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

SEC source: 0001411207-18-000178 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19

Underlying: Common Stock · 9 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded deferred stock units ("DSUs") and vest proportionately with the DSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-18-000149 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,303

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $45.82, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001062993-24-007340 · form4a.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,696

Underlying: Common Stock · 477 shares

Expires not disclosed

F1 · security: The reporting person is filing this amendment to the Form 4 originally filed on August 14, 2018, as well as amendments to the Form 4s originally filed on November 14, 2018 and February 13, 2019, solely to reflect that the annual retainer awards reported in such Form 4s were granted to the reporting person in the form of deferred stock units ("DSUs") and not common stock. The subsequent Form 4s filed by the reporting person overstated the reporting person's direct holdings of common stock by an aggregate of 1,414 shares. As of March 28, 2024, the date of this amendment, the reporting person directly holds 9,826 shares of common stock.

F2 · security: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer is payable quarterly in arrears.

F3 · derivative.exercise_price: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F4 · shares: The number of DSUs received was calculated based on $45.82, which was the closing price of the Company's common stock on the date of grant.

F3 · derivative.exercise_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F3 · derivative.expiration_date: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or a change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F5 · balance_after: Represents the total number of DSUs held by the reporting person as of March 28, 2024, the date of this amendment, and reflects all transactions through such date.

SEC source: 0000757011-18-000057 · primary_doc.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,132.9168

Underlying: Common Stock · 550.0232 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F2 · price: Mean of the high and low sales prices of a share of common stock on June 29, 2018.

F1 · derivative.exercise_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F1 · derivative.expiration_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

SEC source: 0001411207-18-000126 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0000899243-18-013974 · doc4.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,528.3635

F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT Inc. 2019 Annual Meeting of Shareholders.

F2 · balance_after: Includes 92.3635 shares under a dividend reinvestment plan. This amount does not include a fractional share of 0.468 that was disposed of when the reporting person transferred shares from one account to another because the transfer could only be completed for whole shares.

SEC source: 0001411207-18-000094 · edgar.xml · derivative · entry 5

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,859

Underlying: Common Stock · 2,859 shares

Expires not disclosed

F9 · security: The deferred stock units ("DSUs") represent the portion of the reporting person's annual equity award under the Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock

F11 · price: The number of DSUs received was calculated based on $41.96, which was the closing price of the Company's common stock on the date of the grant.

F10 · derivative.exercise_date: TheDSUs vest on the date of the next annual meeting of the stockholders of the Company.

F10 · derivative.expiration_date: TheDSUs vest on the date of the next annual meeting of the stockholders of the Company.

SEC source: 0001411207-18-000094 · edgar.xml · derivative · entry 4

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: Each dividend equivalent rights is the economic equivalent of one share of the Company's common stock.

F8 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded RSUs and vested on May 10, 2018.

F8 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded RSUs and vested on May 10, 2018.

SEC source: 0001411207-18-000094 · edgar.xml · derivative · entry 3

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,185 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock

F6 · derivative.exercise_date: On May 12, 2017, the reporting person was granted 3,185 RSUs that vested on May 10, 2018.

F6 · derivative.expiration_date: On May 12, 2017, the reporting person was granted 3,185 RSUs that vested on May 10, 2018.

SEC source: 0001411207-18-000094 · edgar.xml · nonDerivative · entry 2

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,826

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Settlement of restricted stock units ("RSUs") and related dividend equivalents.

F4 · shares: Includes 48 dividend equivalents.

SEC source: 0001411207-18-000094 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,593

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $41.96, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0000757011-18-000028 · primary_doc.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 582.8936

Underlying: Common Stock · 582.8936 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F2 · price: Mean of the high and low sales prices of a share of common stock on March 29, 2018.

F1 · derivative.exercise_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

F1 · derivative.expiration_date: Deferral of the reporting person's compensation for service as a director pursuant to the USG Corporation Deferred Compensation Program for Non-Employee Directors (the "Program"). Each deferred stock unit represents the right to receive the value of one share of common stock. The deferred stock units become payable in shares of common stock following termination of service as a director.

SEC source: 0001411207-18-000074 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-18-000033 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,370

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy. The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $41.67, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0000757011-18-000007 · primary_doc.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,657

F1 · shares: Annual grant under the USG Corporation Non-Employee Director Compensation Program.

F2 · price: Mean of the high and low sales prices of a share of common stock on December 29, 2017.

SEC source: 0001411207-17-000225 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-17-000196 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,145

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Third Amended and Restated Non-Employee Director Compensation Policy. The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $43.30, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001411207-17-000182 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-17-000150 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,929

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy. The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $36.57, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001411207-17-000124 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-17-000084 · edgar.xml · derivative · entry 5

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,185

Underlying: Common Stock · 3,185 shares

Expires not disclosed

F9 · security: The RSUs represent the reporting person's annual equity award under the Policy.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock

F11 · price: The number of RSUs received was calculated based on $37.67, which was the closing price of the Company's common stock on the date of the grant.

F10 · derivative.exercise_date: The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F10 · derivative.expiration_date: The RSUs vest on the date of the next annual meeting of the stockholders of the Company. Unvested RSUs earn dividend equivalents when dividends are declared on the Company's common stock.

SEC source: 0001411207-17-000084 · edgar.xml · derivative · entry 4

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 69 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: Each dividend equivalent rights is the economic equivalent of one share of the Company's common stock.

F8 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded RSUs and vested on May 11, 2017.

F8 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded RSUs and vested on May 11, 2017.

SEC source: 0001411207-17-000084 · edgar.xml · derivative · entry 3

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,628 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock

F6 · derivative.exercise_date: On May 13, 2016, the reporting person was granted 3,628 RSUs that vested on May 11, 2017.

F6 · derivative.expiration_date: On May 13, 2016, the reporting person was granted 3,628 RSUs that vested on May 11, 2017.

SEC source: 0001411207-17-000084 · edgar.xml · nonDerivative · entry 2

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Settlement of restricted stock units ("RSUs") and related dividend equivalents.

F4 · shares: Includes 69 dividend equivalents.

SEC source: 0001411207-17-000084 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,976

F1 · security: These shares respresent a quarterly payment of the portion of the reporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $38.23, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0000899243-17-012861 · doc4.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,652.364

F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT Inc. 2018 Annual Meeting of Shareholders.

F2 · balance_after: Includes 76.3635 shares under a dividend reinvestment plan.

SEC source: 0001411207-17-000058 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69

Underlying: Common Stock · 15 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0000899243-17-004114 · doc4.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,731

F1 · shares: These shares respresent a quarterly payment of the portion of the eporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $37.68, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0000757011-17-000007 · primary_doc.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,555

F1 · shares: Annual grant under the USG Corporation Non-Employee Director Compensation Program.

F2 · price: Mean of the high and low sales prices of a share of common stock on December 30, 2016.

SEC source: 0001411207-16-000435 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54

Underlying: Common Stock · 16 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0001411207-16-000402 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,483

F1 · shares: These shares respresent a quarterly payment of the portion of the eporting person's annual retainer paid in common stock under the Allison Transmission Holdings, Inc. (the "Company") Second Amended and Restated Non-Employee Director Compensation Policy ("Policy"). The annual retainer is paid quarterly in arrears in cash or common stock at the reporting person's discretion.

F2 · price: The number of shares of common stock received was calculated based on $31.07, which was the closing price of the Company's common stock on the date of grant.

SEC source: 0001411207-16-000379 · edgar.xml · derivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent rights is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

SEC source: 0000018230-12-000576 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,609

F1 · kind: Pursuant to a previously enacted 10b5-1 plan.

F2 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.

SEC source: 0000018230-12-000548 · edgar.xml · derivative · entry 3

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,739

Underlying: Common · 119 shares

Expires not disclosed

F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.

F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service.

F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service.

SEC source: 0000018230-12-000532 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,393

F1 · kind: Pursuant to a previously executed 10b5-1 plan.

F2 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.

SEC source: 0000018230-12-000530 · edgar.xml · derivative · entry 3

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,985

Underlying: Common · 93,985 shares

Expires 2017-11-05

F2 · derivative.exercise_date: The options shall vest as of the first day after the grant date that the per share closing price of the common stock of Caterpillar Inc. is at least $110.09 for twenty consecutive trading days.

SEC source: 0000018230-12-000518 · edgar.xml · derivative · entry 6

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,972

Underlying: Common · 65,750 shares

Expires 2019-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: Right to buy with tandem tax withholding rights.

F5 · derivative.exercise_date: The stock appreciation rights were fully vested on March 2, 2012.

SEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 3

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,177

F1 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.

SEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 2

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,767

F1 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.

SEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 1

LAVIN RICHARD P · CIK 0001171774 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,008

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.