-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QpggpKkjicdpUAx+MDRoDXUrQv5PLOS2tP9fT4p1KHaQ4NgmdS+V7cGk60o/u6jw C7sMHU+62WUJnl4gkCjVWg== 0000950172-02-000336.txt : 20020414 0000950172-02-000336.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950172-02-000336 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011201 FILED AS OF DATE: 20020215 COMPANY DATA: COMPANY CONFORMED NAME: HUMBLA CLAES CENTRAL INDEX KEY: 0001038897 OTHER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: C/O AUTOLIV INC S 107 24 STREET 2: WORLD TRADE CENTER KLARABERGSVILADUKTEN CITY: STOCKHOLM SWEDEN MAIL ADDRESS: STREET 1: C/O AUTOLIV INC WORLD TRADE CENTER STREET 2: KLARABERGSVIADUKTEN 70 S 107 24STOCKHOLM CITY: SWEDEN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTOLIV INC CENTRAL INDEX KEY: 0001034670 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 510378542 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12933 FILM NUMBER: 02552285 BUSINESS ADDRESS: STREET 1: 3350 AIRPORT RD CITY: OGDEN STATE: UT ZIP: 84405 BUSINESS PHONE: 8016299800 MAIL ADDRESS: STREET 1: BOX 70381 STREET 2: SE 107 24 STOCKHOLM CITY: SWEDEN 5 1 humbla.txt 5 FORM 5 U.S. SECURITIES AND EXCHANGE COMMISSION _____________________ WASHINGTON, D.C. 20549 | OMB APPROVAL | ANNUAL STATEMENT OF |_____________________| CHANGES IN BENEFICIAL OWNERSHIP |OMB NUMBER: 3235-0362| |EXPIRES: | | PENDING | Filed pursuant to Section 16(a) of the |ESTIMATED AVERAGE | Securities Exchange Act of 1934, |BURDEN HOURS | Section 17(a) of the Public Utility |PER RESPONSE......1.0| Holding Company Act of 1935 |_____________________| or Section 30(f) of the Investment Company Act of 1940 /_X_/ Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). /__/ Form 3 Holdings Reported /__/ Form 4 Transaction Reported - ---------------------------------------------------------------------------- 1. Name and Address of Reporting Person HUMBLA CLAES - ---------------------------------------------------------------------------- (Last) (First) (Middle) KLARABERGSVIADUKTEN 70, BOX 70381 - ---------------------------------------------------------------------------- (Street) STOCKHOLM SWEDEN SE 107 24 - ---------------------------------------------------------------------------- (City) (State) (Zip) - ---------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol AUTOLIV, INC. [ALV] - ---------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person, if an entity (Voluntary) - ---------------------------------------------------------------------------- 4. Statement for Month/Year 12/01 - ---------------------------------------------------------------------------- 5. If amendment, Date of Original (Month/Year) - ---------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ___ Director ___ 10% Owner ___ Officer (give title below) _X_ Other (specify below) Formerly Vice President - Human Resources ----------------------------------------- - ---------------------------------------------------------------------------- 7. Individual or Joint/Group Reporting (check applicable line) _X_Form Filed by One Reporting Person ___Form Filed by More than one Reporting Person ============================================================================ Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ---------------------------------------------------------------------------- 1. Title of Security (Instr. 3) - ---------------------------------------------------------------------------- 2. Transaction Date (Month/Day/Year) - ---------------------------------------------------------------------------- 3. Transaction Code (Instr. 8) - ---------------------------------------------------------------------------- 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) ---------------- ----------------- ----------------- Amount (A) or (D) Price - ---------------------------------------------------------------------------- 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) - ---------------------------------------------------------------------------- 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) - ---------------------------------------------------------------------------- 7. Nature of Indirect Beneficial Ownership (Instr. 4) - ---------------------------------------------------------------------------- [TYPE ENTRIES HERE] ============================================================================ TABLE II - Derivative Securities, Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ---------------------------------------------------------------------------- 1. Title of Derivative Security (Instr. 3) - ---------------------------------------------------------------------------- 2. Conversion of Exercise Price of Derivative Security - ---------------------------------------------------------------------------- 3. Transaction Date (Month/Day/Year) - ---------------------------------------------------------------------------- 4. Transaction Code (Instr. 8) - ---------------------------------------------------------------------------- 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) ------------------ ------------------ (A) (D) - ---------------------------------------------------------------------------- 6. Date Exercisable and Expiration Date (Month/Day/Year) ----------------------- --------------------------- Date Exercisable Expiration Date - ---------------------------------------------------------------------------- 7. Title and Amount of Underlying Securities (Instr. 3 and 4) ------------------------------- ------------------------------- Title Amount or Number of Shares - ---------------------------------------------------------------------------- 8. Price of Derivative Security (Instr. 4) - ---------------------------------------------------------------------------- 9. Number of Derivative Securities Beneficially Owned at End of Year (Instr. 4) - ---------------------------------------------------------------------------- 10. Ownership of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) - ---------------------------------------------------------------------------- 11. Nature of Indirect Beneficial Ownership (Instr. 4) - ---------------------------------------------------------------------------- [TYPE ENTRIES HERE]
- ---------- ---------- ------- -------------- ---------------------- --------------- ------------- --------------- ------- 1. 3. 4. 5. 6. 7. 9. 10. - ---------- ---------- ------- -------------- ---------------------- --------------- ------------- --------------- ------- Options 06/18/01 A(1) (A)5318 06/18/02 06/18/11 Common Stock(3) 5,318 15,318(4) D Options 06/18/01 A(2) (A)10,000 06/18/02 06/18/11 Common Stock(3) 40,000 15,318(4) D - ---------- ---------- ------- -------------- ---------------------- ---------------- ------------ --------------- -------
- ------------------------------------------------------------------- EXPLANATION OF RESPONSES: (1) The options were issued pursuant to the commitments assumed on December 15, 2000, in connection with the cancellation of previously issued options. The options issued on June 18, 2001 represent 20% of the number of options canceled on December 15, 2000. (2) The options were issued pursuant to the 1997 Stock Incentive Plan. (3) Common Stock, par value $1 per share. (4) This number does not include other derivative securities (Restricted Stock Units) previously issued and reported. /S/ Claes Humbla 2/12/02 ------------------------------ ---------------- ** SIGNATURE OF REPORTING PERSON DATE - ----------------------------- ** Intentional misstatements or omissions of facts constitutE Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78FF(A). NOTE: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure Potential persons who are to respond to the collection of information contained in this form are nor required to respond unless the form displays a currently valid OMB number. ============================================================================= -----END PRIVACY-ENHANCED MESSAGE-----