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*
RABORN FRANCIS

(Last) (First) (Middle)
ONE ALLISON WAY

(Street)
INDIANAPOLIS IN 46222

(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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
05/09/2013
4. 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 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(1) 05/09/2013 A 4,068 A $0(2) 4,068 D
Common Stock 20,000(3) I(3) By Francis Raborn Revocable Trust
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
Restricted Stock Units(4) (5) 05/09/2013 A 3,211 (5) (5) Common Stock 3,211 $0(6) 3,211 D
Restricted Stock Units (5) 05/09/2013 G V 3,211 (5) (5) Common Stock 3,211 $0 0 D
Restricted Stock Units (5) 05/09/2013 G V 3,211 (5) (5) Common Stock 3,211 $0 3,211 I By Francis Raborn Revocable Trust
Explanation of Responses:
1. The common stock represents the reporting person's annual retainer under the Allison Transmission Holdings, Inc. (the "Company") Non-Employee Director Compensation Policy.
2. The number of shares of common stock received was calculated based on $23.35, which was the closing price of the Company's common stock on the date of grant.
3. In a prior Form 4, the shares of common stock were incorrectly reported as being directly held by the reporting person. The shares of common stock are held by the Francis Raborn Revocable Trust.
4. The restricted stock units ("RSUs") represent the reporting person's meeting fees under the Company's Non-Employee Director Compensation Policy.
5. Each RSU represents a contingent right to receive one share of the Company's common stock. 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.
6. The number of RSUs received was calculated based on $23.35, which was the closing price of the Company's common stock on the date of grant.
Remarks:
/s/ Eric C. Scroggins, attorney-in-fact 05/13/2013
** 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).
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