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Allison Transmission (NYSE: ALSN) director gets 3 dividend equivalent rights grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Shivram Krishna reported acquisition or exercise transactions in this Form 4 filing.

Allison Transmission Holdings Inc director Shivram Krishna received a small compensation-related award tied to existing equity. He was granted 3 Dividend Equivalent Rights on May 29, 2026, each economically equivalent to one share of common stock and linked to previously awarded restricted stock units. These rights accrued as a result of dividends and will vest in step with the related RSUs, leaving him with 3 such derivative rights directly owned after this transaction.

Positive

  • None.

Negative

  • None.
Insider Shivram Krishna
Role null
Type Security Shares Price Value
Grant/Award Dividend Equivalent Rights 3 $0.00 --
Holdings After Transaction: Dividend Equivalent Rights — 3 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Dividend Equivalent Rights granted 3.0000 rights Grant on May 29, 2026
Price per right $0.0000 Grant price for Dividend Equivalent Rights
Rights held after transaction 3.0000 rights Total Dividend Equivalent Rights directly owned post-grant
Underlying common shares 3.0000 shares Common stock economically referenced by the rights
Dividend Equivalent Rights financial
"The dividend equivalent rights accrued on previously awarded restricted stock units"
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.
restricted stock units ("RSUs") financial
"accrued on previously awarded restricted stock units ("RSUs") and vest proportionately"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
Common Stock financial
"Each dividend equivalent right is the economic equivalent of one share of Allison Transmission Holdings, Inc. common stock"
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Shivram Krishna
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Dividend Equivalent Rights(1)05/29/2026A3 (1) (1)Common Stock3$03D
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-fact06/02/2026
** Signature of Reporting PersonDate
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

FAQ

What did Allison Transmission (ALSN) director Shivram Krishna report in this Form 4?

He reported receiving 3 Dividend Equivalent Rights as a compensation-related award. These rights are tied to previously granted RSUs and are economically equivalent to shares of Allison Transmission common stock, providing additional value that vests alongside the underlying restricted stock units.

How many Dividend Equivalent Rights did Shivram Krishna acquire in the ALSN filing?

He acquired 3 Dividend Equivalent Rights in this transaction. After the grant, he directly holds 3 such derivative rights, each corresponding to one share of Allison Transmission common stock, and they will vest proportionately with the related restricted stock units over time.

Are the Dividend Equivalent Rights in the ALSN Form 4 the same as common stock?

They are not actual shares but are economically equivalent to common stock. Each right mirrors the value of one share of Allison Transmission common stock and accrues on existing RSUs, vesting on the same schedule as those underlying restricted stock units.

Does this ALSN Form 4 indicate an open-market buy or sell of shares?

No, it shows a compensation-related acquisition rather than a market trade. The Form 4 records a grant of 3 Dividend Equivalent Rights linked to existing RSUs, not a purchase or sale of Allison Transmission common stock on the open market.

How do the Dividend Equivalent Rights in this ALSN filing vest over time?

They vest proportionately with the restricted stock units to which they relate. As the underlying RSUs vest, the associated Dividend Equivalent Rights follow the same schedule, aligning the additional economic benefit with the original long-term equity award’s vesting period.