SEC Form 3/A · accession 0000899243-19-006601
AUTOLIV INC · ALV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Jordi Lombarte
Officer — Chief Technology Officer
Period of report
Jun 29, 2018
Accepted (ET)
Mar 7, 2019 · 8:55 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001034670
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,792 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F2,F1 | — | holding | — | — | — | — | — | Common Stock | 126 | — | D |
| Restricted Stock UnitF3,F4,F1,F5 | — | holding | — | — | — | Feb 19, 2020 | Feb 19, 2020 | Common Stock | 435 | — | D |
| Restricted Stock UnitF3,F4,F1,F5 | — | holding | — | — | — | Feb 13, 2021 | Feb 13, 2021 | Common Stock | 639 | — | D |
| Restricted Stock UnitF6,F3,F4,F1 | — | holding | — | — | — | Feb 15, 2019 | Feb 15, 2019 | Common Stock | 378 | — | D |
| Restricted Stock UnitF6,F3,F4,F1,F5 | — | holding | — | — | — | Feb 19, 2020 | Feb 19, 2020 | Common Stock | 435 | — | D |
Explanation of responses
- F1On June 29, 2018, the issuer completed its spin-off of its wholly-owned subsidiary Veoneer, Inc. (the "Spin-off"). The number of shares held, as well as the number of shares underlying RSUs, were adjusted in connection with the Spin-off. Because the adjustment calculations were not available as of the date of this filing, this Form 3 reflects the reporting person's holdings on a pre-adjustment basis.
- F2The restricted stock units (RSUs) granted to the reporting person on February 15, 2016 vest and convert to shares in approximately installments on the first, second and third anniversaries of the grant date of the RSUs.
- F3Each RSU represents a contingent right to receive one share of issuer common stock.
- F4The RSUs vest and convert to shares in one installment on the third anniversary of the grant date.
- F5Includes dividend equivalent rights accrued in the form of additional RSUs in respect of the RSUs granted to the reporting person. Per the terms of the award agreement, any cash dividend paid with respect to Autoliv's common stock for which the record date occurs on or after the grant date and the payment date occurs on or before the vesting date will result in a credit of additional RSUs, which are subject to the same vesting schedule as the underlying RSUs.
- F6Reflects performance shares that converted into RSUs in connection with the Spin-off.
Remarks
See Exhibit 24 - Power of Attorney