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Allison Transmission (NYSE: ALSN) CEO sells 26,708 shares after option exercise

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

Rhea-AI Filing Summary

Allison Transmission Holdings Inc (ALSN) reported that Chair, President and CEO David S. Graziosi exercised an employee stock option for 26,708 shares of common stock at an exercise price of $38.11 per share, leaving 17,593 options from that grant outstanding. On the same date, he acquired the corresponding 26,708 common shares and then sold an aggregate 26,708 shares in three open-market transactions at weighted average prices of $132.44, $133.21 and $134.05 per share, each based on multiple trades within disclosed price ranges.

Positive

  • None.

Negative

  • None.
Insider Graziosi David S.
Role Chair, President and CEO
Sold 26,708 shs ($3.55M)
Approx. gross sale proceeds $3.55M
Approx. exercise cost $1.02M
Approx. pre-tax spread $2.53M
Type Security Shares Price Value
Exercise Employee Stock Option (right to buy) F4 26,708 $0.00 $0.00
Exercise Common Stock 26,708 $38.11 $1.02M
Sale Common Stock F1 13,100 $132.4362 $1.73M
Sale Common Stock F2 9,050 $133.2116 $1.21M
Sale Common Stock F3 4,558 $134.0479 $611K
Holdings After Transaction: Employee Stock Option (right to buy) — 17,593 shares (Direct); Common Stock — 304,843 shares (Direct)
Footnotes (4)
  1. F1. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $132.000000 to $132.990000. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("ALSN") or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  2. F2. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $133.000000 to $133.360000. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  3. F3. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $134.000000 to $134.120000. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. F4. This option vested in three equal annual installments beginning on February 24, 2023.
Options exercised 26,708 shares Employee stock option for ALSN common stock exercised on August 21, 2026
Option exercise price $38.11 per share Exercise price of employee stock option converted into ALSN common stock
Options remaining from grant 17,593 options Employee stock option balance after reported exercise; expires February 24, 2032
Shares sold at $132.4362 13,100 shares Weighted average sale price; trades between $132.00 and $132.99 per share
Shares sold at $133.2116 9,050 shares Weighted average sale price; trades between $133.00 and $133.36 per share
Shares sold at $134.0479 4,558 shares Weighted average sale price; trades between $134.00 and $134.12 per share
Net shares sold 26,708 shares Total ALSN common shares sold on August 21, 2026, matching shares acquired on exercise
Employee Stock Option (right to buy) financial
"security_title: Employee Stock Option (right to buy)"
Exercise or conversion of derivative security financial
"transaction_code_description: Exercise or conversion of derivative security"
weighted average price financial
"The price reported is a weighted average price."
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
expiration date financial
"expiration_date: 2032-02-24"
The expiration date is the deadline after which a financial contract, such as an option or a futures agreement, is no longer valid or can be exercised. It matters to investors because it determines the timeframe during which they can take action or benefit from the contract, similar to how a coupon or a food item has a limited period of usefulness. Once the expiration date passes, the contract loses its value or ability to be used.

FAQ

What insider transactions did David S. Graziosi report in this Form 4 for ALSN?
David S. Graziosi reported exercising an option for 26,708 shares of Allison Transmission Holdings Inc common stock at $38.11 per share and selling 26,708 shares in three open-market transactions on August 21, 2026 at weighted average prices above $132 per share.

How many Allison Transmission (ALSN) options did the CEO exercise and what remains?
He exercised 26,708 employee stock options at an exercise price of $38.11 per share. Following this exercise, the filing shows a remaining balance of 17,593 options from that grant, which is scheduled to expire on February 24, 2032.

At what prices were the ALSN shares sold in the reported insider trades?
The CEO sold 13,100 shares at a weighted average of $132.4362, 9,050 shares at $133.2116, and 4,558 shares at $134.0479 per share. Each weighted average reflects multiple trades within specified price ranges between about $132.00 and $134.12.

Were the reported ALSN insider sales made under a Rule 10b5-1 trading plan?
The filing’s Rule 10b5-1 checkbox is not checked, and the footnotes do not state that the transactions were made pursuant to a Rule 10b5-1 trading arrangement. The trades are reported simply as open-market sales of common stock.

What is the vesting history of the exercised ALSN stock option?
A footnote states that the option exercised for 26,708 shares vested in three equal annual installments beginning on February 24, 2023. The option is reported with an expiration date of February 24, 2032.

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

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*
Graziosi David S.
(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
XOfficer (give title below)Other (specify below)
Chair, President and CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/21/2026		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
Common Stock08/21/2026M26,708A$38.11331,551D
Common Stock08/21/2026S13,100D$132.4362(1)318,451D
Common Stock08/21/2026S9,050D$133.2116(2)309,401D
Common Stock08/21/2026S4,558D$134.0479(3)304,843D
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
Employee Stock Option (right to buy)$38.1108/21/2026M26,708 (4)02/24/2032Common Stock26,708$017,593D
Explanation of Responses:
1. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $132.000000 to $132.990000. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("ALSN") or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
2. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $133.000000 to $133.360000. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $134.000000 to $134.120000. The reporting person undertakes to provide ALSN or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
4. This option vested in three equal annual installments beginning on February 24, 2023.
/s/ Preston B. Ray, attorney-in-fact08/25/2026
** 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

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