Allison Transmission

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Basso Rafael

(Last)

(First)

(Middle)

C/O ALLISON TRANSMISSION HOLDINGS, INC.

ONE ALLISON WAY

(Street)

INDIANAPOLIS

46222

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/14/2022

3. Issuer Name and Ticker or Trading Symbol
Allison Transmission Holdings Inc [ ALSN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP, Operations

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	986	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Employee Stock Option (right to buy)	⁽¹⁾	02/22/2027	Common Stock	2,075	37.11	D
Employee Stock Option (right to buy)	⁽²⁾	02/07/2028	Common Stock	2,930	43.3	D
Employee Stock Option (right to buy)	⁽³⁾	02/20/2029	Common Stock	3,765	49.6	D
Employee Stock Option (right to buy)	⁽⁴⁾	02/25/2030	Common Stock	3,854	43.24	D
Employee Stock Option (right to buy)	⁽⁵⁾	02/10/2031	Common Stock	4,567	43.13	D
Employee Stock Option (right to buy)	⁽⁶⁾	10/01/2021	Common Stock	2,084	35.86	D
Employee Stock Option (right to buy)	⁽⁷⁾	02/23/2032	Common Stock	8,994	39.42	D
Restricted Stock Units	⁽⁸⁾	⁽⁸⁾	Common Stock	1,051	⁽⁹⁾	D
Restricted Stock Units	⁽¹⁰⁾	⁽¹⁰⁾	Common Stock	830	⁽⁹⁾	D
Restricted Stock Units	⁽¹¹⁾	⁽¹¹⁾	Common Stock	695	⁽⁹⁾	D
Restricted Stock Units	⁽¹²⁾	⁽¹²⁾	Common Stock	2,998	⁽⁹⁾	D
Dividend Equivalent Rights	⁽¹³⁾	⁽¹³⁾	Common Stock	56	⁽¹³⁾	D

Explanation of Responses:

1. The options vested on February 22, 2020.

2. The options vested on February 07, 2021.

3. The options vested on February 20, 2022.

4. The options vests on February 25, 2023.

5. The option vests in three equal annual installments beginning on February 10, 2022.

6. The option vests in three equal annual installments beginning on October 1, 2022.

7. The option vests in three equal annual installments beginning on February 23, 2023.

8. The restricted stock units ("RSUs") vest on February 25, 2023.

9. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. common stock ("Common Stock"). RSUs earned dividend equivalents when dividends are declared on the Common Stock.

10. The RSUs vest in three equal annual installments beginning on February 10, 2022.

11. The RSUs vest in three equal annual installments beginning on October 1, 2022.

12. The RSUs vest in three equal annual installments beginning on February 23, 2023.

13. The dividend equivalent rights vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Common Stock.

	/s/ Jacalyn C. Bolles, attorney-in-fact (power of attorney filed herewith)	03/22/2022
	** 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 5 (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.

POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby
constitutes and appoints each of Jacalyn C. Bolles and
Eric C. Scroggins or either of them signing singly, and
with full power of substitution, the undersigned's true
and lawful attorney-in-fact to:

(1) prepare, execute in the undersigned's name and on
the undersigned's behalf, and submit to the U.S.
Securities and Exchange Commission (the "SEC") a Form
ID, including amendments thereto, and any other documents
necessary or appropriate to obtain codes and passwords
enabling the undersigned to make electronic filings with
the SEC of reports required by Section 16(a) of the
Securities Exchange Act of 1934 or any rule or regulation
of the SEC;

(2) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer and/or director of
Allison Transmission Holdings, Inc. (the "Company"),
Forms 3, 4, and 5 in accordance with Section 16(a) of
the Securities Exchange Act of 1934 and the rules
thereunder;

(3) do and perform any and all acts for and on behalf of
the undersigned which may be necessary or desirable to
complete and execute any such Form 3, 4, or 5, complete
and execute any amendment or amendments thereto, and
timely file such form with the SEC and any stock exchange
or similar authority; and

(4) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion
of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned,
it being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant
to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact
may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact
full power and authority to do and perform any and every
act and thing whatsoever requisite, necessary, or proper to
be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as
the undersigned might or could do if personally present,
with full power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-fact,
or such attorney-in-fact's substitute or substitutes,
shall lawfully do or cause to be done by virtue of this
power of attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming, nor is the
Company assuming, any of the undersigned's responsibilities
to comply with Section 16 of the Securities Exchange Act
of 1934.

This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to
file Forms 3, 4, and 5 with respect to the undersigned's
holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a
signed writing delivered to the foregoing
attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 15th day
of March, 2022.


/s/ Rafael Basso
Signature

Rafael Basso
Printed Name