SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ONEX CORP

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Allison Transmission Holdings Inc [ ALSN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/20/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/20/2012 S 15,007,500 D $21.74 75,348,749 I See footnotes(1)(2)(3)(4)(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
ONEX CORP

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
SCHWARTZ GERALD W

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Onex American Holdings II LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Onex American Holdings GP LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Allison Executive Investco LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Allison Executive Investco II LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Onex American Holdings Subco LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
OAH Wind LLC

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Onex Allison Holding Ltd S.A.R.L.

(Last) (First) (Middle)
C/O ONEX CORPORATION
161 BAY STREET

(Street)
TORONTO A6 M5J 2S1

(City) (State) (Zip)
Explanation of Responses:
1. Includes: (i) 34,064,491 shares of common stock held by Onex Partners II LP; (ii) 22,901,322 shares of common stock held by Onex Allison Holding Limited S.a R.L.; (iii) 16,057,930 shares of common stock held by Onex Allison Co-Invest LP; (iv) 641,740 shares of common stock held by Onex US Principals LP; and (v) 320,170 shares of common stock held by Onex Partners II GP LP.
2. Onex Corporation may be deemed to beneficially own the common stock held by (a) Onex Partners II LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Partners II LP; (b) Onex Allison Holding Limited S.a R.L., through Onex Corporation's ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of each of Allison Executive Investco LLC, which owns all of the equity of Allison Executive Investco II LLC, and Onex American Holdings Subco LLC, which owns all of the equity of OAH Wind LLC, which OAH Wind LLC and Allison Executive Investco II LLC own all of the equity of Onex Allison Holding Limited S.a R.L.; (continued)
3. (c) Onex Allison Co-Invest LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Allison Co-Invest LP; (d) Onex US Principals LP, through Onex Corporation's ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of Onex American Holdings GP LLC, the general partner of Onex US Principals LP; and (e) Onex Partners II GP LP, through Onex Corporation's ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP.
4. Also includes 1,361,911 shares of common stock and 1,185 shares of non-voting common stock held by 1597257 Ontario Inc., an independent entity that is controlled by Mr. Gerald W. Schwartz. Mr. Schwartz, the Chairman, President and Chief Executive Officer of Onex Corporation, owns shares representing a majority of the voting rights of the shares of Onex Corporation and as such may be deemed to own beneficially all of the common stock and non-voting common stock owned beneficially by Onex Corporation. Mr. Schwartz disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Mr. Schwartz has indirect voting and investment control of Onex Corporation.
5. Due to the limitations of the electronic filing system, Onex Partners GP Inc., Onex US Principals LP, Onex Partners II GP LP, Onex Allison Co-Invest LP, Onex Partners II LP, 1597257 Ontario Inc., Onex Advisor III LLC and Onex Advisor Subco LLC are filing a separate Form 4.
Remarks:
Exhibit List: Exhibit 99 - Joint Filer Information
/s/ Andrea E. Daly, Authorized Person 03/22/2012
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
Joint Filer Information
Exhibit 99
Joint Filer Information
     
Date of Event
Requiring Statement:
   
March 20, 2012
 
   
Issuer Name and Ticker
or Trading Symbol:
   
Allison Transmission Holdings, Inc. [ALSN]
 
   
Designated Filer:
  Onex Corporation
 
   
Other Joint Filers:
  Gerald W. Schwartz
Onex American Holdings II LLC
Onex American Holdings GP LLC
Allison Executive Investco LLC
Allison Executive Investco II LLC
Onex American Holdings Subco LLC
OAH Wind LLC
Onex Allison Holding Limited S.á.R.L.
Onex US Principals LP
Onex Partners GP Inc.
Onex Partners II GP LP
Onex Allison Co-Invest LP
Onex Partners II LP
1597257 Ontario Inc.
Onex Advisor III LLC
Onex Advisor Subco LLC
Addresses:
  The address of each of the reporting persons is c/o Onex Corporation, 161 Bay Street, Toronto, ON M5J 2S1.
Signatures:
Dated: March 22, 2012
         
    ONEX CORPORATION
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    GERALD W. SCHWARTZ
 
       
 
  By:   /s/ Gerald W. Schwartz
 
       
 
  Name:   Gerald W. Schwartz
 
       
    ONEX AMERICAN HOLDINGS II LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX AMERICAN HOLDINGS GP LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ALLISON EXECUTIVE INVESTCO LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ALLISON EXECUTIVE INVESTCO II LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX AMERICAN HOLDINGS SUBCO LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    OAH WIND LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX ALLISON HOLDING LIMITED S.Á.R.L.
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
 
       
    ONEX US PRINCIPALS LP
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX PARTNERS GP INC.
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX PARTNERS II GP LP
 
       
    By Onex Partners GP Inc., General Partner
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX ALLISON CO-INVEST LP
 
       
    By Onex Partners II GP LP, General Partner
    By Onex Partners Manager LP, its Agent
    By Onex Partners Manager GP ULC, its General Partner
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX PARTNERS II LP
 
       
    By Onex Partners II GP LP, General Partner
    By Onex Partners Manager LP, its Agent
    By Onex Partners Manager GP ULC, its General Partner
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    1597257 ONTARIO INC.
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX ADVISOR III LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person
 
       
    ONEX ADVISOR SUBCO LLC
 
       
 
  By:   /s/ Andrea E. Daly
 
       
 
  Name:   Andrea E. Daly
 
  Title:   Authorized Person