ALSN Insider Filing: 9 Dividend Equivalent Rights Added to Scroggins

Rhea-AI Filing Summary

Eric C. Scroggins, Vice President, General Counsel and Assistant Secretary of Allison Transmission Holdings, Inc. (ALSN), reported acquisition of 9 dividend equivalent rights that accrue on previously awarded restricted stock units and vest proportionately with those RSUs. The transaction date is 08/29/2025 and the reported action is an acquisition at $0, reflecting dividend equivalent credits rather than a cash purchase. Following the reported transaction, Mr. Scroggins beneficially owns 70 shares of common stock directly. The filing was signed by an attorney-in-fact on 09/03/2025.

Positive

• Clear disclosure of dividend equivalent rights accrued on previously awarded RSUs for transparency.
• Acquisition recorded at $0, indicating these are dividend equivalents rather than a cash purchase.
• Beneficial ownership level provided: the filing states 70 shares beneficially owned following the transaction.

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: Routine insider reporting of dividend equivalent rights on RSUs, showing executive compensation mechanics rather than active market trading.

The Form 4 documents a non-derivative economic accrual tied to previously granted restricted stock units. The 9 dividend equivalent rights are the economic equivalent of common shares and vest with the underlying RSUs, indicating compensation recognition rather than a purchase or sale. This is a standard disclosure for executives and does not alter outstanding option or equity structures materially given the small size reported.

Compensation Analyst

TL;DR: Small, routine grant of dividend equivalents; reflects ongoing equity-based compensation program administration.

The record shows accrual of dividend equivalent rights valued at $0 on the transaction date, consistent with how firms credit dividends on unvested RSUs. The filing clarifies that these rights vest proportionately with the RSUs to which they relate. For investors assessing dilution, the increment of 9 shares to a single officer is immaterial to company capitalization.

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)
	VP, Gen. Counsel & Assist. Sec

3. Date of Earliest Transaction (Month/Day/Year)
08/29/2025

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

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
Dividend Equivalent Rights	(1)	08/29/2025		A		9		(1)	(1)	Common Stock	9	$0	70	D

Explanation of Responses:

1. The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs") and vest proportionately with the RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock.

	/s/ Preston B. Ray, attorney-in-fact	09/03/2025
	** 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.

FAQ

What did Allanison Transmission (ALSN) insider Eric Scroggins report on Form 4?

He reported acquisition of 9 dividend equivalent rights that accrue on previously awarded restricted stock units and vest with those RSUs.

When was the transaction reported for ALSN Form 4 by Eric Scroggins?

The transaction date is 08/29/2025 and the Form 4 was signed by an attorney-in-fact on 09/03/2025.

How many shares does Eric Scroggins own after the reported transaction on ALSN?

The filing reports 70 shares of common stock beneficially owned following the reported transaction.

What is the nature of the 9 items acquired in the ALSN Form 4?

They are dividend equivalent rights, each being the economic equivalent of one common share and vest proportionately with the related RSUs.

Was there a cash price associated with the ALSN transaction?

No. The filing shows a reported price of $0, reflecting that these are dividend equivalents, not a cash purchase.