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*
Eifert Thomas

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

(Street)
INDIANAPOLIS IN 46222

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/06/2021
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, Program Mgmt & Prod Pln
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 1,084 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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (1) 02/18/2024 Common Stock 4,840 30.23 D
Employee Stock Option (right to buy) (2) 02/19/2025 Common Stock 2,790 32.13 D
Employee Stock Option (right to buy) (3) 02/16/2026 Common Stock 4,202 23.59 D
Employee Stock Option (right to buy) (4) 02/22/2027 Common Stock 3,741 37.11 D
Employee Stock Option (right to buy) (5) 02/07/2028 Common Stock 4,735 43.3 D
Employee Stock Option (right to buy) (6) 02/20/2029 Common Stock 4,681 49.6 D
Employee Stock Option (right to buy) (7) 02/25/2030 Common Stock 5,388 43.24 D
Employee Stock Option (right to buy) (8) 02/10/2031 Common Stock 6,690 43.13 D
Restricted Stock Units (9) (9) Common Stock 1,560 (10) D
Restricted Stock Units (11) (11) Common Stock 1,796 (10) D
Restricted Stock Units (12) (12) Common Stock 2,230 (10) D
Dividend Equivalent Rights (13) (13) Common Stock 131 (13) D
Explanation of Responses:
1. The option vested on December 1, 2016.
2. The option vested on February 19, 2018.
3. The option vested on February 17, 2019.
4. The option vested on February 22, 2020.
5. The option vested on February 7, 2021.
6. The option vests on February 20, 2022.
7. The option vests on February 25, 2023.
8. The option vests in three equal annual installments beginning on February 10, 2022.
9. The restricted stock units ("RSUs") vest on February 20, 2022.
10. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. common stock ("Common Stock"). RSUs earn dividend equivalents when dividends are declared on the Common Stock.
11. The RSUs vest on February 25, 2023.
12. The RSUs vest in three equal annual installments beginning on February 10, 2022.
13. The dividend equivlanet rights vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Common Stock.
Jacalyn C. Bolles, Attorney-in-Fact (power of attorney filed herewith) 08/13/2021
** 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.
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