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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 | ||||||||
Restricted Stock Unit | (2) | 05/08/2018 | M(1) | 1,178 | 05/08/2018 | 05/08/2018 | Common Stock | 1,178 | $ 0 | 0 | D | ||||
Restricted Stock Unit | (2) | 05/08/2018 | A(3) | 861 | (4) | (4) | Common Stock | 861 | $ 0 | 861 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHANSSON LEIF C/O AUTOLIV, INC. KLARABERGSVIADUKTEN 70, SECTION B7 STOCKHOLM, V7 SE-111 64 |
X |
/s/ Zachariah Miller, as attorney-in-fact for Leif Johansson | 05/10/2018 | |
**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) | Reflects the vesting of restricted stock units, including restricted stock units acquired through dividend equivalents, granted on May 9, 2017 as payment of one-half of the 2017-2018 annual retainer for director service. |
(2) | Each restricted stock unit represents a contingent right to receive one share of ALV common stock. |
(3) | Reflects a grant of restricted stock units as payment of one-half of the 2018-2019 annual retainer for director service. |
(4) | The restricted stock units vest and convert to shares in one installment on the earlier of (a) the date of Autoliv's 2019 annual stockholder meeting, or (b) the one-year anniversary of the grant date. |
(5) | Shares of Autoliv common stock are held in a pension plan account controlled by the reporting person. |