UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)
ALLISON TRANSMISSION HOLDINGS, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
01973R101
(CUSIP Number)
December 31, 2013
(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 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).
CUSIP No. 01973R101 | Schedule 13G | 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
48,797,219 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
48,797,219 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,797,219 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
26.7% | |||||
12 | TYPE OF REPORTING PERSON
CO |
CUSIP No. 01973R101 | Schedule 13G | 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
49,696,249 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
49,696,249 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
49,696,249 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
27.1% | |||||
12 | TYPE OF REPORTING PERSON
IN |
CUSIP No. 01973R101 | Schedule 13G | 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
33,269,398 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
33,269,398 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
33,269,398 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
18.2% | |||||
12 | TYPE OF REPORTING PERSON
CO |
CUSIP No. 01973R101 | Schedule 13G | 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
33,269,398 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
33,269,398 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
33,269,398 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
18.2% | |||||
12 | TYPE OF REPORTING PERSON
PN |
CUSIP No. 01973R101 | Schedule 13G | 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
22,467,227 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
22,467,227 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,467,227 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.3% | |||||
12 | TYPE OF REPORTING PERSON
PN |
CUSIP No. 01973R101 | Schedule 13G | 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
15,527,821 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,527,821 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,527,821 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.5% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
15,104,562 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,104,562 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,104,562 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.3% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
15,104,562 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,104,562 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,104,562 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.3% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
15,104,562 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,104,562 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,104,562 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.3% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
15,104,562 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,104,562 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,104,562 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.3% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
15,104,562 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
15,104,562 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,104,562 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.3% | |||||
12 | TYPE OF REPORTING PERSON
CO (Luxembourg Corporation) |
CUSIP No. 01973R101 | Schedule 13G | 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
10,591,003 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
10,591,003 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,591,003 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.8% | |||||
12 | TYPE OF REPORTING PERSON
PN |
CUSIP No. 01973R101 | Schedule 13G | 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
899,030 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
899,030 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
899,030 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.5% | |||||
12 | TYPE OF REPORTING PERSON
CO |
CUSIP No. 01973R101 | Schedule 13G | 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
899,030 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
899,030 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
899,030 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.5% | |||||
12 | TYPE OF REPORTING PERSON
CO |
CUSIP No. 01973R101 | Schedule 13G | 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
423,259 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
423,259 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
423,259 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.2% | |||||
12 | TYPE OF REPORTING PERSON
OO (Limited Liability Company) |
CUSIP No. 01973R101 | Schedule 13G | 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
423,259 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
423,259 | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
423,259 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.2% | |||||
12 | TYPE OF REPORTING PERSON
PN |
CUSIP No. 01973R101 | Schedule 13G | 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 |
CUSIP No. 01973R101 | Schedule 13G | Page 18 of 23 |
ITEM 3. | ||||
Not applicable. | ||||
ITEM 4. | Ownership |
Ownership (a-c)
The ownership information presented below represents beneficial ownership of Common Stock of the Issuer as of December 31, 2013, based upon 183,050,410 shares of the Issuers Common Stock and 1,185 shares of non-voting common stock outstanding as of December 5, 2013.
Reporting Person | Amount beneficially owned |
Percent of class: |
Sole power to vote or to direct the vote: |
Shared power to vote or to direct the vote: |
Sole of: |
Shared power to dispose or to direct the disposition of: |
||||||||||||||||||
Onex Corporation |
48,797,219 | 26.7 | % | 0 | 48,797,219 | 0 | 48,797,219 | |||||||||||||||||
Gerald W. Schwartz |
49,696,249 | 27.1 | % | 0 | 49,696,249 | 0 | 49,696,249 | |||||||||||||||||
Onex Partners GP Inc. |
33,269,398 | 18.2 | % | 0 | 33,269,398 | 0 | 33,269,398 | |||||||||||||||||
Onex Partners II GP LP |
33,269,398 | 18.2 | % | 0 | 33,269,398 | 0 | 33,269,398 | |||||||||||||||||
Onex Partners II LP |
22,467,227 | 12.3 | % | 0 | 22,467,227 | 0 | 22,467,227 | |||||||||||||||||
Onex American Holdings II LLC |
15,527,821 | 8.5 | % | 0 | 15,527,821 | 0 | 15,527,821 | |||||||||||||||||
Allison Executive Investco LLC |
15,104,562 | 8.3 | % | 0 | 15,104,562 | 0 | 15,104,562 | |||||||||||||||||
Allison Executive Investco II LLC |
15,104,562 | 8.3 | % | 0 | 15,104,562 | 0 | 15,104,562 | |||||||||||||||||
Onex American Holdings Subco LLC |
15,104,562 | 8.3 | % | 0 | 15,104,562 | 0 | 15,104,562 | |||||||||||||||||
OAH Wind LLC |
15,104,562 | 8.3 | % | 0 | 15,104,562 | 0 | 15,104,562 | |||||||||||||||||
Onex Allison Holding Limited S.à R.L. |
15,104,562 | 8.3 | % | 0 | 15,104,562 | 0 | 15,104,562 | |||||||||||||||||
Onex Allison Co-Invest LP |
10,591,003 | 5.8 | % | 0 | 10,591,003 | 0 | 10,591,003 | |||||||||||||||||
1597257 Ontario Inc. |
899,030 | 0.5 | % | 0 | 899,030 | 0 | 899,030 | |||||||||||||||||
New PCo II Investments Ltd. |
899,030 | 0.5 | % | 0 | 899,030 | 0 | 899,030 | |||||||||||||||||
Onex American Holdings GP LLC |
423,259 | 0.2 | % | 0 | 423,259 | 0 | 423,259 | |||||||||||||||||
Onex US Principals LP |
423,259 | 0.2 | % | 0 | 423,259 | 0 | 423,259 |
Onex Partners II LP is the record holder of 22,467,227 shares of common stock; Onex Allison Holding Limited S.à r.l. is the record holder of 15,104,562 shares of common stock; Onex Allison Co-Invest LP is the record holder of 10,591,003 shares of common stock; Onex US Principals LP is the record holder of 423,259 shares of common stock; and Onex Partners II GP LP is the record holder of 211,168 shares of common stock.
CUSIP No. 01973R101 | Schedule 13G | Page 19 of 23 |
Onex Corporation may be deemed to beneficially own the common stock held by (a) Onex Partners II LP, through Onex Corporations ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Partners II LP; (b) Onex Allison Holding Limited S.à r.l., through Onex Corporations ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of each of Allison Executive Investco LLC, which owns all of the equity of Allison Executive Investco II LLC, and Onex American Holdings Subco LLC, which owns all of the equity of OAH Wind LLC, which OAH Wind LLC and Allison Executive Investco II LLC own all of the equity of Onex Allison Holding Limited S.à r.l.; (c) Onex Allison Co-Invest LP, through Onex Corporations ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP, the general partner of Onex Allison Co-Invest LP; (d) Onex US Principals LP, through Onex Corporations ownership of all of the equity of Onex American Holdings II LLC, which owns all of the equity of Onex American Holdings GP LLC, the general partner of Onex US Principals LP; and (e) Onex Partners II GP LP, through Onex Corporations ownership of all of the common stock of Onex Partners GP Inc., the general partner of Onex Partners II GP LP.
New PCo II Investments Ltd. is the record holder of 897,845 shares of common stock and 1,185 shares of non-voting common stock. 1597257 Ontario Inc., the sole shareholder of New PCo II Investments Ltd., is an independent entity that is controlled by Mr. Gerald W. Schwartz. Mr. Schwartz, the Chairman, President and Chief Executive Officer of Onex Corporation, owns shares representing a majority of the voting rights of the shares of Onex Corporation and as such may be deemed to beneficially own all of the common stock owned beneficially by Onex Corporation. Mr. Schwartz disclaims any such beneficial ownership. Mr. Schwartz has indirect voting and investment control of Onex Corporation.
ITEM 5. | Ownership of Five Percent or Less of a Class |
Not applicable.
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.
CUSIP No. 01973R101 | Schedule 13G | Page 20 of 23 |
ITEM 10. | Certification |
Not applicable.
CUSIP No. 01973R101 | Schedule 13G | Page 21 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 14, 2014
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 |
CUSIP No. 01973R101 | Schedule 13G | Page 22 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 |
CUSIP No. 01973R101 | Schedule 13G | Page 23 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 |
LIST OF EXHIBITS
Exhibit |
Description | |
99 | Joint Filing Agreement |