Allison Transmission (ALSN) director awarded 3 dividend equivalent rights tied to RSUs

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Allison Transmission Holdings Inc director Gustave Perna reported an automatic compensation-related grant of dividend equivalent rights. On May 29, 2026, he acquired 3 dividend equivalent rights tied to previously awarded restricted stock units. Each right is the economic equivalent of one share of common stock and will vest in proportion to the underlying RSUs, resulting in 3 derivative rights held directly after the transaction.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Perna Gustave

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)

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Key Figures

Dividend equivalent rights granted: 3 rights Economic share equivalent: 3 shares Exercise price: $0.0000 per right +1 more

4 metrics

Dividend equivalent rights granted 3 rights Grant on May 29, 2026

Economic share equivalent 3 shares Each right equals one common share

Exercise price $0.0000 per right Grant/award acquisition

Total derivative holdings after 3 rights Derivative securities following transaction

Key Terms

Dividend Equivalent Rights, restricted stock units, economic equivalent, Common Stock

4 terms

Dividend Equivalent Rights financial

"The dividend equivalent rights accrued on previously awarded restricted stock units ("RSUs")"

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.

economic equivalent financial

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

Common Stock financial

"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^*

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)
05/29/2026

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		3		⁽¹⁾	⁽¹⁾	Common Stock	3	$0	3	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 insider transaction did Allison Transmission (ALSN) disclose for Gustave Perna?

Allison Transmission director Gustave Perna reported receiving 3 dividend equivalent rights as a compensation-related grant. These rights are tied to earlier restricted stock unit awards and represent the economic equivalent of 3 shares of common stock, vesting alongside the related RSUs.

How many dividend equivalent rights did Gustave Perna receive at Allison Transmission (ALSN)?

Gustave Perna received 3 dividend equivalent rights. According to the filing, these rights accrue on previously granted restricted stock units and will vest proportionately with those RSUs, giving him derivative exposure economically equal to 3 shares of Allison Transmission common stock.

Are Gustave Perna’s dividend equivalent rights at Allison Transmission (ALSN) open-market purchases or compensation?

The 3 dividend equivalent rights reported for Gustave Perna are compensation-related awards, not open-market purchases. The Form 4 classifies them under transaction code A, meaning a grant or award that accrued on earlier restricted stock units granted to the director.

What does each dividend equivalent right represent for Allison Transmission (ALSN)?

Each dividend equivalent right is the economic equivalent of one share of Allison Transmission common stock. The filing explains these rights accrue on previously awarded restricted stock units and will vest on the same schedule as those RSUs, mirroring the underlying equity exposure.

How many derivative securities does Gustave Perna hold after this Allison Transmission (ALSN) transaction?

After this transaction, Gustave Perna holds 3 dividend equivalent rights as derivative securities. The Form 4 states total derivative securities following the transaction are 3, all held directly and tied to earlier restricted stock unit awards that determine their vesting.