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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 8.44 | 04/03/2013 | M | 8,334 | (4) | 09/30/2017 | Common Stock | 8,334 | $ 0 | 64,984 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kirk Randall R. ONE ALLISON WAY INDIANAPOLIS, IN 46222 |
VP, Product Engineering |
/s/ David S. Graziosi, attorney-in-fact | 04/05/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2012. |
(2) | The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $23.3000 to $23.6100. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | Form 4s filed for the reporting person on February 5, 2013 and March 5, 2013 incorrectly reported the amount of securities beneficially owned following the reported transactions as 106,650 due to an administrative error. The amount of securities beneficially owned should have been reported as zero, and that amount has been corrected in this Form 4 filing. |
(4) | The option vested in five equal annual installments beginning on August 7, 2008. |
(5) | Form 4s filed for the reporting person on February 5, 2013 and March 5, 2013 incorrectly reported the number of derivative securities benefically owned following the reported transactions as 53,047 and 44,714, respectively, due to an administrative error. The number of derivative securities benefically owned should have been reported as 81,651 and 73,318, respectively. |