Allison Transmission director gets RSU grant, shares

Allison Transmission Holdings director Gustave Perna reported equity compensation activity and derivative exercises.

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Form Type

Rhea-AI Filing Summary

Allison Transmission Holdings director Gustave Perna reported equity compensation activity and derivative exercises. On May 7, 2026, he received a grant of 1,503 restricted stock units (RSUs) as his annual equity award under the company’s Non-Employee Director Compensation Policy. Each RSU represents a contingent right to receive one share of common stock.

On May 6, 2026, 1,570 previously granted RSUs and 16 related dividend equivalent rights vested and were settled, resulting in the acquisition of 1,586 shares of common stock. After these transactions, Perna directly holds 9,633 shares of Allison Transmission common stock.

Insider Trade Summary

1,586 shares exercised/converted

Exercise 4 txns

Insider Perna Gustave

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	1,503	$0.00	$0.00
Exercise	Restricted Stock Units	1,570	$0.00	$0.00
Exercise	Dividend Equivalent Rights	16	$0.00	$0.00
Exercise	Common Stock	1,586	$0.00	$0.00

Holdings After Transaction: Dividend Equivalent Rights — 0 contracts (Direct); Restricted Stock Units — 1,503 contracts (Direct); Common Stock — 9,633 shares (Direct)

Footnotes (9)

F1. Settlement of restricted stock units ("RSUs") and related dividend equivalents.
F2. Includes 16 dividend equivalents.
F3. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc.'s (the "Company") common stock.
F4. On May 8, 2025, the reporting person was granted 1,570 RSUs that vested on May 6, 2026.
F5. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
F6. The dividend equivalent rights accrued on previously awarded RSUs and vested on May 6, 2026.
F7. The RSUs represent the reporting person's annual equity award under the Company's Ninth Amended and Restated Non-Employee Director Compensation Policy.
F8. 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.
F9. The number of RSUs received was calculated based on $123.02, which was the closing price of the Company's common stock on the date of grant.

Key Figures

New RSU grant: 1,503 RSUs Vested RSUs: 1,570 RSUs Dividend equivalent rights: 16 rights +3 more

6 metrics

New RSU grant 1,503 RSUs Annual equity award granted on May 7, 2026

Vested RSUs 1,570 RSUs Granted May 8, 2025 and vested May 6, 2026

Dividend equivalent rights 16 rights Accrued on previously awarded RSUs and vested May 6, 2026

Shares acquired from vesting 1,586 shares Settlement of RSUs and dividend equivalents into common stock

Post-transaction holdings 9,633 shares Common stock directly held after reported transactions

RSU grant price basis $123.02 per share Closing price used to calculate number of RSUs granted

Key Terms

Restricted Stock Units, dividend equivalents, dividend equivalent rights, Non-Employee Director Compensation Policy, +1 more

5 terms

Restricted Stock Units financial

"On May 8, 2025, the reporting person was granted 1,570 RSUs that vested"

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 equivalents financial

"Unvested RSUs earn dividend equivalents when dividends are declared"

Payments tied to employee or contractor equity awards that mirror the cash dividends paid on the company’s stock; they give the holder the same economic benefit as owning the shares without transferring actual shares—often paid in cash or additional award units when the award becomes payable. Investors care because these payments affect a company’s compensation costs, cash flow and potential share dilution, and they signal how management is being rewarded and aligned with shareholders.

dividend equivalent rights financial

"Each dividend equivalent right is the economic equivalent of one share"

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.

Non-Employee Director Compensation Policy financial

"annual equity award under the Company's Ninth Amended and Restated Non-Employee Director Compensation Policy"

derivative exercise/conversion financial

"transaction_action": "derivative exercise/conversion""

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Allison Transmission (ALSN) director Gustave Perna report in this Form 4?

Director Gustave Perna reported routine equity compensation activity. He received 1,503 new restricted stock units and had 1,570 previously granted RSUs plus 16 dividend equivalent rights vest and settle into 1,586 shares of Allison Transmission common stock, increasing his direct holdings.

How many Allison Transmission (ALSN) RSUs were granted to Gustave Perna and on what basis?

Gustave Perna was granted 1,503 restricted stock units as an annual equity award. The number of RSUs was calculated using a share price of $123.02, which was the closing price of Allison Transmission common stock on the grant date referenced in the disclosure.

What RSUs and dividend equivalents vested for Allison Transmission (ALSN) director Gustave Perna?

1,570 restricted stock units granted on May 8, 2025 vested on May 6, 2026. In addition, 16 dividend equivalent rights accrued on those RSUs also vested on the same date, together settling into 1,586 shares of Allison Transmission common stock for the director.

How many Allison Transmission (ALSN) shares does Gustave Perna hold after these transactions?

Following the vesting and settlement of RSUs and dividend equivalents, and the related acquisition of common stock, Gustave Perna directly holds 9,633 shares of Allison Transmission Holdings Inc. common stock, as reported in the post-transaction ownership figure in the insider disclosure.

What are dividend equivalent rights in the Allison Transmission (ALSN) equity awards?

Dividend equivalent rights give the holder economic value equal to dividends on the company’s common stock for unvested RSUs. Each right is the economic equivalent of one share of common stock and, in this case, vested alongside the related RSUs and settled into additional common shares.

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Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 05/08/2026 - 04:00 PM EDT

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^*

Perna Gustave

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/06/2026

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⁽¹⁾	05/06/2026		M		1,586⁽²⁾	A	$0	9,633	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	⁽³⁾	05/06/2026		M			1,570	⁽⁴⁾	⁽⁴⁾	Common Stock	1,570	$0	0	D
Dividend Equivalent Rights	⁽⁵⁾	05/06/2026		M			16	⁽⁶⁾	⁽⁶⁾	Common Stock	16	$0	0	D
Restricted Stock Units⁽⁷⁾	⁽³⁾	05/07/2026		A		1,503		⁽⁸⁾	⁽⁸⁾	Common Stock	1,503	$0⁽⁹⁾	1,503	D

Explanation of Responses:

1. Settlement of restricted stock units ("RSUs") and related dividend equivalents.

2. Includes 16 dividend equivalents.

3. Each RSU represents a contingent right to receive one share of Allison Transmission Holdings, Inc.'s (the "Company") common stock.

4. On May 8, 2025, the reporting person was granted 1,570 RSUs that vested on May 6, 2026.

5. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

6. The dividend equivalent rights accrued on previously awarded RSUs and vested on May 6, 2026.

7. The RSUs represent the reporting person's annual equity award under the Company's Ninth Amended and Restated Non-Employee Director Compensation Policy.

8. 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.

9. The number of RSUs received was calculated based on $123.02, which was the closing price of the Company's common stock on the date of grant.

	/s/ Preston B. Ray, attorney-in-fact	05/08/2026
	** 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