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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 | (3) | 02/18/2013 | M | 8,000 | 02/18/2013 | 02/18/2013 | Common Stock | 8,000 | $ 0 | 0 | D | ||||
Restricted Stock Unit | (3) | 02/19/2013 | A | 6,298 | 02/19/2016(4) | 02/19/2016(4) | Common Stock | 6,298 | $ 0 | 6,298 | D | ||||
Employee Stock Option (right to buy) | $ 67.42 | 02/19/2013 | A | 18,895 | 02/19/2014(5) | 02/19/2023 | Common Stock | 18,895 | $ 0 | 18,895 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carlson Jan C/O AUTOLIV, INC. VASAGATAN 11, 7TH FLOOR STOCKHOLM, V7 SE-111 20 |
X | President & CEO |
/s/ Jan Carlson | 02/20/2013 | |
**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) | Represents the closing price on February 15, 2013 (the last trading date prior to the vesting date of the restricted stock units (RSUs) from which these shares were converted). No consideration was or is payable by the reporting person. |
(2) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 8, 2012. |
(3) | Each RSU represents a contingent right to receive one share of ALV common stock. |
(4) | The RSUs vest and convert to shares in one installment on the third anniversary of the grant date. |
(5) | The options vest in one installment on the first anniversary of the grant date. |