Sec Form 13G Filing - Carlyle Group Inc. (CG) filing for Allison Transmission Holdings Inc (ALSN) - 2015-02-12

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

ALLISON TRANSMISSION HOLDINGS, INC.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

01973R101

(CUSIP Number)

December 31, 2014

(Date of Event which Requires filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

  ¨ Rule 13d-1(b)

 

  ¨ Rule 13d-1(c)

 

  x Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 01973R101 Schedule 13G Page 1 of 13

 

  1 

NAMES OF REPORTING PERSONS

 

The Carlyle Group L.P.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 01973R101 Schedule 13G Page 2 of 13

 

  1 

NAMES OF REPORTING PERSONS

 

Carlyle Group Management L.L.C.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

OO (Limited Liability Company)


CUSIP No. 01973R101 Schedule 13G Page 3 of 13

 

  1 

NAMES OF REPORTING PERSONS

 

Carlyle Holdings I GP Inc.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

CO


CUSIP No. 01973R101 Schedule 13G Page 4 of 13

 

  1 

NAMES OF REPORTING PERSONS

 

Carlyle Holdings I GP Sub L.L.C.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

OO (Limited Liability Company)


CUSIP No. 01973R101 Schedule 13G Page 5 of 13

 

  1 

NAMES OF REPORTING PERSONS

 

Carlyle Holdings I L.P.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 01973R101 Schedule 13G Page 6 of 13

 

< font style="font-size:10pt">  1 

NAMES OF REPORTING PERSONS

 

TC Group, L.L.C.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

5 

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

OO (Limited Liability Company)


CUSIP No. 01973R101 Schedule 13G Page 7 of 13

 

 

  1 

NAMES OF REPORTING PERSONS

 

TC Group IV Managing GP, L.L.C.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

OO (Limited Liability Company)


CUSIP No. 01973R101 Schedule 13G Page 8 of 13

 

 

  1 

NAMES OF REPORTING PERSONS

 

Carlyle Partners IV AT Holdings, L.P.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3

SEC USE ONLY

 

  4

CITIZEN OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY OWNED BY EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

0

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

Not Applicable

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

0%

12

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 01973R101 Schedule 13G Page 9 of 13

 

 

ITEM 1.

(a)    

Name of Issuer:

Allison Transmission Holdings, Inc. (the “Issuer”)

(b)    

Address of Issuer’s Principal Executive Offices:

One Allison Way

Indianapolis, IN 46222

ITEM 2.

(a)    

Name of Person Filing:

Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.” This statement is filed on behalf of:

Carlyle Group Management L.L.C.

The Carlyle Group L.P.

Carlyle Holdings I GP Inc.

Carlyle Holdings I GP Sub L.L.C.

Carlyle Holdings I L.P.

TC Group, L.L.C.

TC Group IV Managing GP, L.L.C.

Carlyle Partners IV AT Holdings, L.P.

(b)    

Address or Principal Business Office:

The business address of each of the Reporting Persons is c/o The Carlyle Group, 1001 Pennsylvania Avenue, N.W., Suite 220 South, Washington, D.C. 20004-2505.

(c)    

Citizenship of each Reporting Person is:

Each of the Reporting Persons is organized in the state of Delaware.

(d)    

Title of Class of Securities:

Common stock, $0.01 par value per share (“Common Stock”)

(e)    

CUSIP Number:

01973R101

ITEM 3.
Not applicable.


CUSIP No. 01973R101 Schedule 13G Page 10 of 13

 

 

ITEM 4. Ownership

(a)    

Amount beneficially owned:

This amendment to Schedule 13G is being filed on behalf of the Reporting Persons to report that, as of September 9, 2014, the Reporting Persons do not beneficially own any shares of the Issuer’s Common Stock.

(b)    

Percent of Class:

See Item 4(a) hereof.

(c)    

Number of shares as to which such person has:

(i)       sole power to vote or to direct the vote: 0

(ii)      shared power to vote or to direct the vote: 0

(iii)     sole power to dispose or to direct the disposition of: 0

(iv)     shared power to dispose or to direct the disposition of: 0

ITEM 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: x
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
Not applicable.
ITEM 8. Identification and Classification of Members of the Group
Not applicable.
ITEM 9. Notice of Dissolution of Group
Not applicable.
ITEM 10. Certification
Not applicable.


CUSIP No. 01973R101 Schedule 13G Page 11 of 13

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 12, 2015

 

CARLYLE GROUP MANAGEMENT L.L.C.
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman
THE CARLYLE GROUP L.P.
By: Carlyle Group Management L.L.C., its general partner
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman         
CARLYLE HOLDINGS I GP INC.
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman
CARLYLE HOLDINGS I GP SUB L.L.C.
By: Carlyle Holdings I GP Inc., its managing member
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman
CARLYLE HOLDINGS I L.P.
By: Carlyle Holdings I GP Sub L.L.C., its general partner
By: Carlyle Holdings I GP Inc., its managing member
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman


CUSIP No. 01973R101 Schedule 13G Page 12 of 13

 

TC GROUP, L.L.C.
By: Carlyle Holdings I L.P., its managing member
By:

/s/ Jeremy W. Anderson, attorney-in-fact

Name: Daniel D’Aniello
Title: Chairman
TC GROUP IV MANAGING GP, L.L.C.
By:

/s/ Jeremy W. Anderson

Name: Jeremy W. Anderson
Title: Authorized Person
CARLYLE PARTNERS IV AT HOLDINGS, L.P.
By: TC Group IV Managing GP, L.L.C., its general partner
By:

/s/ Jeremy W. Anderson

Name: Jeremy W. Anderson
Title: Authorized Person


CUSIP No. 01973R101 Schedule 13G Page 13 of 13

 

LIST OF EXHIBITS

 

Exhibit
No.

Description

24 Power of Attorney (incorporated by reference to Exhibit 24 to the Schedule 13G filed by the Reporting Persons on February 14, 2013).
99 Joint Filing Agreement (incorporated by reference to Exhibit 99 to the Schedule 13G filed by the Reporting Persons on February 14, 2013).