Allison Transmission CFO settles RSUs, withholds shares

Allison Transmission Holdings CFO & Treasurer Scott A. Mell settled previously granted equity awards into common stock.

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Rhea-AI Filing Summary

Allison Transmission Holdings CFO & Treasurer Scott A. Mell settled previously granted equity awards into common stock. On April 14, 2026, he exercised and settled restricted stock units and related dividend equivalent rights into 2,865 shares of common stock. Of these, 879 shares were withheld by the company at $128.26 per share to cover tax obligations on the vesting, rather than sold in the market. Following these transactions, Mell directly owns 1,986 shares of Allison Transmission common stock. These events reflect routine equity compensation vesting and related tax withholding, not open‑market buying or selling.

Insider Trade Summary

2,865 shares exercised/converted

Exercise 7 txns

Insider Mell Scott A

Role CFO & Treasurer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	1,951	$0.00	$0.00
Exercise	Dividend Equivalent Rights	14	$0.00	$0.00
Exercise	Restricted Stock Units	891	$0.00	$0.00
Exercise	Dividend Equivalent Rights	9	$0.00	$0.00
Exercise	Common Stock	2,842	$0.00	$0.00
Exercise	Common Stock	23	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	879	$128.26	$113K

Holdings After Transaction: Restricted Stock Units — 3,736 contracts (Direct); Dividend Equivalent Rights — 71 contracts (Direct); Common Stock — 1,986 shares (Direct)

Footnotes (3)

F1. Settlement of restricted stock units ("RSUs") granted on April 14, 2025. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.
F2. 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.
F3. Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs.

Key Figures

Shares from equity award settlement: 2,865 shares Shares withheld for taxes: 879 shares Withholding price per share: $128.26 +3 more

6 metrics

Shares from equity award settlement 2,865 shares Common stock received from RSU and DER settlements on April 14, 2026

Shares withheld for taxes 879 shares Common stock withheld at $128.26 per share to satisfy tax obligations

Withholding price per share $128.26 Price used for tax-withholding disposition of 879 common shares

Shares held after transaction 1,986 shares Allison Transmission common stock directly owned by CFO after April 14, 2026

RSUs settled (grant 1) 1,951 units Restricted stock units granted April 14, 2025 settled into common stock

RSUs settled (grant 2) 891 units Additional restricted stock units settled into common stock on April 14, 2026

Key Terms

Restricted Stock Units, Dividend Equivalent Rights, tax withholding obligations, economic equivalent

4 terms

Restricted Stock Units financial

"Settlement of restricted stock units ("RSUs") granted on April 14, 2025."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Dividend Equivalent Rights financial

"Settlement of dividend equivalent rights ("DERs"). The DERs accrued when and as dividends were paid"

Dividend equivalent rights are promises that mirror the cash payments shareholders get from a company’s profits, but they are paid to holders of certain awards (like stock options or restricted stock units) rather than to actual shares. Think of them as a paycheck top‑up that matches dividends while the award is not yet a real stock, and they matter to investors because they add to employee compensation costs and potential share dilution, affecting company profitability and per‑share value.

tax withholding obligations financial

"Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs."

economic equivalent financial

"Each DER is the economic equivalent of one share of ALSN common stock."

FAQ

What insider transactions did Allison Transmission (ALSN) report for CFO Scott Mell?

Allison Transmission reported that CFO Scott Mell settled restricted stock units and dividend equivalent rights into 2,865 common shares. The equity awards vested on April 14, 2026, and represent routine compensation rather than an open-market purchase or sale of stock.

How many Allison Transmission (ALSN) shares does CFO Scott Mell hold after this Form 4?

After these transactions, CFO Scott Mell directly holds 1,986 shares of Allison Transmission common stock. This figure reflects the net position after converting equity awards into shares and withholding some shares to satisfy related tax obligations on the vesting event.

Were any Allison Transmission (ALSN) shares sold on the market in this Form 4?

The filing shows 879 shares of common stock were withheld at $128.26 per share to satisfy tax obligations. This withholding is recorded as a disposition but does not represent an open-market sale; the shares were retained by the company for tax payment.

What equity awards vested for Allison Transmission (ALSN) CFO Scott Mell?

The vesting involved restricted stock units granted on April 14, 2025, and related dividend equivalent rights. Each RSU and each dividend equivalent right converted into one share of Allison Transmission common stock when they settled on April 14, 2026.

How many derivative securities did Allison Transmission (ALSN) CFO exercise in this filing?

The transaction summary shows exercises totaling 2,865 shares on April 14, 2026. These exercises came from restricted stock units and dividend equivalent rights converting into an equal number of Allison Transmission common shares as part of routine equity compensation settlement.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/16/2026 - 04:05 PM

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Mell Scott A

(Last)

(First)

(Middle)

C/O ALLISON TRANSMISSION HOLDINGS, INC.

ONE ALLISON WAY

(Street)

INDIANAPOLIS

INDIANA

46222

(City)

(State)

(Zip)

UNITED STATES

(Country)

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	10% Owner
X	Officer (give title below)	Other (specify below)
	CFO & Treasurer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/14/2026

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

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

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/14/2026		M		2,842	A	⁽¹⁾	2,842	D
Common Stock	04/14/2026		M		23	A	⁽²⁾	2,865	D
Common Stock	04/14/2026		F		879⁽³⁾	D	$128.26	1,986	D

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	04/14/2026		M			1,951	⁽¹⁾	⁽¹⁾	Common Stock	1,951	$0	1,952	D
Dividend Equivalent Rights	⁽²⁾	04/14/2026		M			14	⁽²⁾	⁽²⁾	Common Stock	14	$0	80	D
Restricted Stock Units	⁽¹⁾	04/14/2026		M			891	⁽¹⁾	⁽¹⁾	Common Stock	891	$0	1,784	D
Dividend Equivalent Rights	⁽²⁾	04/14/2026		M			9	⁽²⁾	⁽²⁾	Common Stock	9	$0	71	D

Explanation of Responses:

1. Settlement of restricted stock units ("RSUs") granted on April 14, 2025. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.

2. 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.

3. Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of RSUs and DERs.

	/s/ Preston B. Ray, as attorney-in-fact	04/16/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

Allison Transmission CFO settles RSUs, withholds shares

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