Allison Transmission (ALSN) CLO settles PSUs and has shares withheld

Rhea-AI Filing Summary

Allison Transmission Holdings Inc chief legal officer Eric C. Scroggins reported equity award activity involving performance stock units and common shares. On February 28, 2026, he settled 5,448 performance stock units, receiving the same number of common shares at a stated price of $0.0000 per share.

On the same date, 1,598 common shares were withheld at $125.30 per share to cover tax obligations tied to the vesting of these performance-based restricted stock units. After these transactions, Scroggins directly owned 18,967 common shares of Allison Transmission Holdings Inc.

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).

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^*

Scroggins Eric C.

(Last) (First) (Middle)

C/O ALLISON TRANSMISSION HOLDINGS, INC.

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CLO & Asst. Secretary

3. Date of Earliest Transaction (Month/Day/Year)
02/28/2026

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	02/28/2026		M		5,448	A	(1)	20,565	D
Common Stock	02/28/2026		F		1,598(2)	D	$125.3	18,967	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Performance Stock Units	(1)	02/28/2026		M			5,448	(1)	(1)	Common Stock	5,448	$0	0	D

Explanation of Responses:

1. Settlement of performance-based restricted stock units ("PSUs") granted on February 22, 2023. Each PSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc. ("ALSN") common stock.

2. Represents shares withheld by ALSN to satisfy tax withholding obligations on the vesting of PSUs.

	/s/ Preston B. Ray, attorney-in-fact	03/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FAQ

What insider transactions did ALSN CLO Eric C. Scroggins report?

Eric C. Scroggins reported settling 5,448 performance stock units into 5,448 shares of Allison Transmission common stock. He also reported 1,598 common shares withheld by the company to satisfy tax withholding obligations related to the vesting of those performance-based restricted stock units.

How many Allison Transmission (ALSN) shares does Eric C. Scroggins now hold?

Following these transactions, Eric C. Scroggins directly owns 18,967 shares of Allison Transmission common stock. This reflects the net result after receiving 5,448 shares from settled performance stock units and having 1,598 shares withheld to cover associated tax withholding obligations.

What was the nature of the performance stock unit settlement at ALSN?

The filing shows settlement of performance-based restricted stock units granted on February 22, 2023. Each unit represented a contingent right to receive one Allison Transmission common share, resulting in 5,448 performance stock units converting into 5,448 common shares on February 28, 2026.

Why were 1,598 ALSN shares withheld in Eric C. Scroggins’ Form 4?

The Form 4 states that 1,598 common shares were withheld by Allison Transmission to satisfy tax withholding obligations on the vesting of performance stock units. These shares were valued at a transaction price of $125.30 per share as part of the tax-withholding disposition.

Did Eric C. Scroggins buy or sell ALSN shares on the open market?

The transactions reported involve exercise or conversion of performance stock units and a tax-withholding disposition. The filing characterizes the F-code transaction as shares withheld by Allison Transmission to cover tax obligations, rather than an open market purchase or sale by Scroggins.