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)
xRule 13d-1(d)
* | The remainder of this cover page shall be filled out for a reporting persons 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).
SCHEDULE 13G
CUSIP No. 01973R101 | Page 1 of 23 |
1 | Names of reporting persons
Onex Corporation | |||||
2 | Check the appropriate box if a member of a group (a) ¨ (b) ¨
| |||||
3 | SEC use only
| |||||
4 | Citizen or place of organization
Ontario, Canada | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 2 of 23 |
1 | Names of reporting persons
Gerald W. Schwartz | |||||
2 | Check the appropriate box if a member of a group (a) ¨ (b) ¨
| |||||
3 | SEC use only
| |||||
4 | Citizen or place of organization
Not applicable | |||||
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
IN |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 3 of 23 |
1 | Names of reporting persons
Onex Partners 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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 4 of 23 |
1 | Names of reporting persons
Onex Partners II GP LP | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 5 of 23 |
1 | Names of reporting persons
Onex Partners II LP | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 6 of 23 |
1 | Names of reporting persons
Onex American Holdings II LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 7 of 23 |
1 | Names of reporting persons
Allison Executive Investco LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 8 of 23 |
1 | Names of reporting persons
Allison Executive Investco II LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 9 of 23 |
1 | Names of reporting persons
Onex American Holdings Subco LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 10 of 23 |
1 | Names of reporting persons
OAH Wind LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 11 of 23 |
1 | Names of reporting persons
Onex Allison Holding Ltd S.à r.l. | |||||
2 | Check the appropriate box if a member of a group (a) ¨ (b) ¨
| |||||
3 | SEC use only
| |||||
4 | Citizen or place of organization
Luxembourg | |||||
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 (Luxembourg Corporation) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 12 of 23 |
1 | Names of reporting persons
Onex Allison Co-Invest LP | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 13 of 23 |
1 | Names of reporting persons
1597257 Ontario Inc. | |||||
2 | Check the appropriate box if a member of a group (a) ¨ (b) ¨
| |||||
3 | SEC use only
| |||||
4 | Citizen or place of organization
Ontario, Canada | |||||
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 | A0; | Percent of class represented by amount in Row 9
0% | ||||
12 | Type of reporting person
CO |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 14 of 23 |
1 | Names of reporting persons
New PCo II Investments Ltd. | |||||
2 | Check the appropriate box if a member of a group (a) ¨ (b) ¨
| |||||
3 | SEC use only
| |||||
4 | Citizen or place of organization
Ontario, Canada | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 15 of 23 |
1 | Names of reporting persons
Onex American Holdings GP LLC | |||||
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) |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 16 of 23 |
1 | Names of reporting persons
Onex US Principals LP | |||||
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 |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 17 of 23 |
ITEM 1. (a) | Name of Issuer: |
Allison Transmission Holdings, Inc. (the Issuer)
(b) | Address of Issuers 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:
Onex Corporation
Gerald W. Schwartz
Onex Partners GP Inc.
Onex Partners II GP LP
Onex Partners II LP
Onex American Holdings II LLC
Allison Executive Investco LLC
Allison Executive Investco II LLC
Onex American Holdings Subco LLC
OAH Wind LLC
Onex Allison Holding Ltd S.à r.l.
Onex Allison Co-Invest LP
1597257 Ontario Inc.
New PCo II Investments Ltd.
Onex American Holdings GP LLC
Onex US Principals LP
(b) | Address or Principal Business Office: |
The business address of each of the Reporting Persons is c/o Onex Corporation, 161 Bay Street, Toronto, A6, M5J2S1.
(c) | Citizenship of each Reporting Person is: |
Onex Corporation, 1597257 Ontario Inc. and New PCo II Investments Ltd. are organized in the province of Ontario, Canada. Onex Allison Holding Ltd S.à r.l. is organized in the Grand Duchy of Luxembourg. Each of the other 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
SCHEDULE 13G
CUSIP No. 01973R101 | Page 18 of 23 |
ITEM 3.
Not applicable.
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 Issuers 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.
SCHEDULE 13G
CUSIP No. 01973R101 | Page 19 of 23 |
ITEM 9. | Notice of Dissolution of Group |
Not applicable.
ITEM 10. | Certification |
Not applicable.
SCHEDULE 13G
CUSIP No. 01973R101 | Page 20 of 23 |
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
ONEX CORPORATION | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
GERALD W. SCHWARTZ | ||
By: | /s/ Donald W. Lewtas | |
Name: | Gerald W. Schwartz by Donald W. Lewtas | |
Attorney-in-fact | ||
ONEX PARTNERS GP INC. | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX PARTNERS II GP LP | ||
By: | Onex Partners GP Inc., General Partner | |
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX PARTNERS II LP | ||
By Onex Partners II GP LP, General Partner | ||
By Onex Partners Manager LP, its Agent | ||
By Onex Partners Manager GP ULC, its General Partner | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX AMERICAN HOLDINGS II LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 21 of 23 |
ALLISON EXECUTIVE INVESTCO LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ALLISON EXECUTIVE INVESTCO II LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX AMERICAN HOLDINGS SUBCO LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
OAH WIND LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX ALLISON HOLDING LIMITED S.À R.L. | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX ALLISON CO-INVEST LP | ||
By: | Onex Partners II GP LP, its General Partner | |
By: | Onex Partners Manager LP, its Agent | |
By: | Onex Partners Manager GP ULC, its General Partner | |
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
1597257 ONTARIO INC. | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 22 of 23 |
ONEX AMERICAN HOLDINGS GP LLC | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
ONEX US PRINCIPALS LP | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person | |
NEW PCO II INVESTMENTS LTD. | ||
By: | /s/ Andrea E. Daly | |
Name: | Andrea E. Daly | |
Title: | Authorized Person |
SCHEDULE 13G
CUSIP No. 01973R101 | Page 23 of 23 |
LIST OF EXHIBITS
Exhibit |
Description | |
99 | Joint Filing Agreement (incorporated by reference to Exhibit 99 to the Schedule 13G filed by the Reporting Persons on February 14, 2014). |