Allison Transmission (ALSN) CLO receives dividend equivalent rights grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Scroggins Eric C. reported acquisition or exercise transactions in this Form 4 filing.

Allison Transmission Holdings Inc reported that Chief Legal Officer and Assistant Secretary Eric C. Scroggins received a grant of dividend equivalent rights tied to existing equity awards. On May 29, 2026, he was awarded 13 dividend equivalent rights, each economically equivalent to one share of common stock.

These rights accrued on previously awarded restricted stock units and will vest in step with those units. Following this grant, Scroggins holds 50 dividend equivalent rights in total. The transaction is a compensation-related award rather than an open-market trade.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Scroggins Eric C.

Role CLO & Asst. Secretary

Type	Security	Shares	Price	Value
Grant/Award	Dividend Equivalent Rights	13	$0.00	--

Holdings After Transaction: Dividend Equivalent Rights — 50 shares (Direct, null)

Footnotes (1)

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Key Figures

Dividend equivalent rights granted: 13 rights Total dividend equivalent rights after transaction: 50 rights Economic equivalence per right: 1 share +1 more

4 metrics

Dividend equivalent rights granted 13 rights Award on May 29, 2026

Total dividend equivalent rights after transaction 50 rights Holdings following May 29, 2026 award

Economic equivalence per right 1 share Each right equals one common share economically

Transaction code A Grant, award, or other acquisition of derivative security

Key Terms

Dividend Equivalent Rights, restricted stock units, Common Stock

3 terms

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 financial

"accrued on previously awarded restricted stock units ("RSUs") and vest proportionately"

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.

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 →

06/02/2026 - 04:05 PM

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^*

Scroggins Eric C.

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026

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)

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)
Dividend Equivalent Rights	⁽¹⁾	05/29/2026		A		13		⁽¹⁾	⁽¹⁾	Common Stock	13	$0	50	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	06/02/2026
	** 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

FAQ

What did Allison Transmission (ALSN) disclose in this Form 4 for Eric C. Scroggins?

Allison Transmission reported that Eric C. Scroggins received 13 dividend equivalent rights on May 29, 2026. These rights are tied to previously granted restricted stock units and increase his total dividend equivalent rights holdings to 50, all as part of equity-based compensation.

Are the transactions in this Allison Transmission (ALSN) Form 4 open-market trades?

No, the Form 4 shows a compensation-related award, not an open-market trade. Eric C. Scroggins received 13 dividend equivalent rights that accrued on earlier RSU grants and vest proportionately with those underlying restricted stock units over time.

How many dividend equivalent rights does Eric C. Scroggins hold after this ALSN filing?

After the May 29, 2026 award, Eric C. Scroggins holds a total of 50 dividend equivalent rights. The new grant added 13 rights, each economically equivalent to one share of Allison Transmission common stock, linked to previously granted restricted stock units.

What are dividend equivalent rights in the Allison Transmission (ALSN) Form 4?

Dividend equivalent rights provide economic value similar to dividends on underlying shares. In this filing, each right is the economic equivalent of one Allison Transmission common share and accrues on previously awarded restricted stock units, vesting in proportion to those RSUs.

Do the dividend equivalent rights in this ALSN Form 4 vest immediately?

No, the dividend equivalent rights vest proportionately with the restricted stock units they relate to. As each underlying RSU for Eric C. Scroggins vests, a corresponding dividend equivalent right also vests, maintaining alignment with the original equity award schedule.