SC 13G/A

 

 

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 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 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 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:

     

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 Issuer’s 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
power to
dispose or
to direct
the
disposition

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 Corporation’s 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 Corporation’s 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 Corporation’s 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 Corporation’s 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 Corporation’s 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
No.

  

Description

99    Joint Filing Agreement