Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allison Transmission Holdings IncALSN · Entity 246 | VP, Quality and Reliability | November 30, 2016 | December 02, 2016 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Allison Transmission Holdings Inc
Report date November 30, 2016 · Filed December 02, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,652 |
Ending reported balance
After 2016-12-01 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2016-11-30 · Exercise / conversion · Acquired 5,022 · Balance 12,928 Row 2 · 2016-11-30 · Sale · Disposed 5,022 · Balance 7,906 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Row 3 · 2016-12-01 · Exercise / conversion · Acquired 2,450 · Balance 10,356 F2: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Row 4 · 2016-12-01 · Tax withholding · Disposed 795 · Balance 9,561 F3: Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs. Row 5 · 2016-12-01 · Exercise / conversion · Acquired 136 · Balance 9,697 F4: 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. Row 6 · 2016-12-01 · Tax withholding · Disposed 45 · Balance 9,652 F5: Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.58 · Expires 2023-03-24 | Direct | 10 |
Reported balance
After 2016-11-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-11-30 · Exercise / conversion · Disposed 5,022 · Balance 10 F6: The option vested on December 15, 2015. |
| Dividend Equivalent RightsSEC Table II · derivative / convertible security · Conversion / exercise price $33.17 | Direct | 268 |
Reported balance
After 2016-11-30 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-11-30 · Grant · Acquired 31 · Balance 268 F7: The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock. |
| Dividend Equivalent RightsSEC Table II · derivative / convertible security | Direct | 132 |
Reported balance
After 2016-12-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-12-01 · Exercise / conversion · Disposed 136 · Balance 132 F4: 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-12-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2016-12-01 · Exercise / conversion · Disposed 2,450 · Balance 0 F2: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
F2: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
F3: Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs.
F4: 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.
F5: Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs.
F6: The option vested on December 15, 2015.
F7: The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionDividend Equivalent Rights · Derivative | 136 | $0.00 | $0.00 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · derivative · entry 10 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132 Underlying: Common Stock · 136 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. F4 · derivative.exercise_price: 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. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionRestricted Stock Units · Derivative | 2,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · derivative · entry 9 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,450 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. F2 · derivative.exercise_price: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. F2 · derivative.exercise_date: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. F2 · derivative.expiration_date: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Tax withholdingCommon Stock | 45 | $33.72 | $1,517.40 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 6 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,652 F5 · shares: Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of DERs. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionCommon Stock | 136 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 5 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,697 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 · price: 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. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Tax withholdingCommon Stock | 795 | $33.72 | $26,807.40 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 4 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,561 F3 · shares: Represents shares withheld by ALSN to satisfy tax withholding obligtations on the vesting of RSUs. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionCommon Stock | 2,450 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 3 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,356 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. F2 · price: Settlement of restricted stock units ("RSUs") granted on February 18, 2014. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | GrantDividend Equivalent Rights · Derivative | 31 | $0.00 Strike: $33.17 | $0.00 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · derivative · entry 8 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268 Underlying: Common Stock · 31 shares Expires not disclosed F7 · derivative.exercise_price: The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock. F7 · derivative.exercise_date: The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock. F7 · derivative.expiration_date: The DERs accrued on three previously awarded RSUs and vest proportionately with the RSUs to which they relate. Each DER the economic equivalent of one share of ALSN common stock. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,022 | $0.00 Strike: $23.58 | $0.00 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · derivative · entry 7 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10 Underlying: Common Stock · 5,022 shares Expires 2023-03-24 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. F6 · derivative.exercise_date: The option vested on December 15, 2015. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | SaleCommon Stock | 5,022 | $32.92 | $165,324.24 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 2 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,906 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 21:27 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionCommon Stock | 5,022 | $23.58 | $118,418.76 |
DisclosureSEC source: 0001411207-16-000438 · edgar.xml · nonDerivative · entry 1 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,928 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. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:11 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,278 | $0.00 Strike: $23.58 | $0.00 |
DisclosureSEC source: 0001411207-16-000407 · edgar.xml · derivative · entry 3 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,032 Underlying: Common Stock · 1,278 shares Expires 2023-03-24 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. F2 · derivative.exercise_date: The option vested on December 15, 2015. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:11 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | SaleCommon Stock | 1,278 | $32.85 | $41,982.30 |
DisclosureSEC source: 0001411207-16-000407 · edgar.xml · nonDerivative · entry 2 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,906 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:11 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionCommon Stock | 1,278 | $23.58 | $30,135.24 |
DisclosureSEC source: 0001411207-16-000407 · edgar.xml · nonDerivative · entry 1 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,184 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. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 20:48 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $23.58 | $0.00 |
DisclosureSEC source: 0001411207-16-000398 · edgar.xml · derivative · entry 3 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,310 Underlying: Common Stock · 5,000 shares Expires 2023-03-24 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. F2 · derivative.exercise_date: The option vested on December 15, 2015. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 20:48 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | SaleCommon Stock | 5,000 | $30.85 | $154,250.00 |
DisclosureSEC source: 0001411207-16-000398 · edgar.xml · nonDerivative · entry 2 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,906 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 20:48 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | Exercise / conversionCommon Stock | 5,000 | $23.58 | $117,900.00 |
DisclosureSEC source: 0001411207-16-000398 · edgar.xml · nonDerivative · entry 1 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,906 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 20:11 UTC | Allison Transmission Holdings Inc ALSN · Entity 246 | GrantDividend Equivalent Rights · Derivative | 37 | $0.00 | $0.00 |
DisclosureSEC source: 0001411207-16-000371 · edgar.xml · derivative · entry 1 Dean Sharon L. · CIK 0001543488 · VP, Quality and Reliability 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237 Underlying: Common Stock · 37 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.