Small Company Offering and Sale of Securities Without Registration (d)
December 17 2018 - 5:17PM
Edgar (US Regulatory)
|
|
UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
FORM D
|
OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
|
|
Notice of Exempt Offering of Securities
|
|
|
|
1. Issuer's Identity
|
|
CIK (Filer ID Number)
|
Previous Name(s)
o
None
|
Entity Type
|
|
0000813810
|
AB ELECTROLUX
|
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
|
|
Name of Issuer
|
|
AKTIEBOLAGET ELECTROLUX
|
|
Jurisdiction of Incorporation/Organization
|
|
SWEDEN
|
|
|
|
Year of Incorporation/Organization
|
|
|
x
|
Over Five Years Ago
|
|
|
o
|
Within Last Five Years (Specify Year)
|
|
|
|
o
|
Yet to Be Formed
|
|
|
2. Principal Place of Business and Contact Information
|
|
Name of Issuer
|
|
|
AKTIEBOLAGET ELECTROLUX
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
Phone No. of Issuer
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
4687386000
|
|
Last Name
|
First Name
|
Middle Name
|
|
SAMUELSON
|
JONAS
|
R.
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
BOHMAN
|
STAFFAN
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Chairman
|
|
Last Name
|
First Name
|
Middle Name
|
|
HEDENGRAN
|
PETRA
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
JOHANSSON
|
HASSE
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
LITZEN
|
ULLA
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
NORDBERG
|
BERT
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
PERSSON
|
FREDRIK
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-105 45
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
PORTER
|
DAVID
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
SAXON
|
ULRIKA
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
WARN
|
KAI
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
FERM
|
PETER
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
ANNALA
|
MONICA
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
CARLSSON
|
ULF
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Last Name
|
First Name
|
Middle Name
|
|
BRINKENFELDT-LEVER
|
VIVECA
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Deputy Director
|
|
Last Name
|
First Name
|
Middle Name
|
|
DELLNER
|
RICHARD
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Deputy Director
|
|
Last Name
|
First Name
|
Middle Name
|
|
NORD
|
JOACHIM
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
o
|
Executive Officer
|
x
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Deputy Director
|
|
Last Name
|
First Name
|
Middle Name
|
|
OSTMAN
|
MIKAEL
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Secretary of the Board, General Counsel, and Senior Vice President
|
|
Last Name
|
First Name
|
Middle Name
|
|
BROCKMANN
|
JAN
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Chief Technology Officer
|
|
Last Name
|
First Name
|
Middle Name
|
|
FRIBERG
|
THERESE
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Chief Financial Officer
|
|
Last Name
|
First Name
|
Middle Name
|
|
SIMMONS
|
SEAN
|
A
|
|
Street Address 1
|
Street Address 2
|
|
C/O ELECTROLUX NORTH AMERICA, INC.
|
10200 DAVID TAYLOR DRIVE
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
CHARLOTTE
|
NORTH CAROLINA
|
28262
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Authorized Person in the United States
|
|
Last Name
|
First Name
|
Middle Name
|
|
HYGRELL
|
LARS
|
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Chief Marketing Officer, Senior Vice President
|
|
Last Name
|
First Name
|
Middle Name
|
|
PETERSON
|
LARS
|
WORSOE
|
|
Street Address 1
|
Street Address 2
|
|
ST GORANSGATAN 143
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
STOCKHOLM
|
SWEDEN
|
SE-10545
|
|
Relationship:
|
x
|
Executive Officer
|
o
|
Director
|
o
|
Promoter
|
|
Clarification of Response (if Necessary)
|
|
|
Head of Human Resources and Organizational Development, Senior Vice President
|
|
o
|
Agriculture
|
|
Health Care
|
o
|
Retailing
|
|
|
Banking & Financial Services
|
|
o
|
Biotechnology
|
o
|
Restaurants
|
|
|
o
|
Commercial Banking
|
|
o
|
Health Insurance
|
|
Technology
|
|
|
o
|
Insurance
|
|
o
|
Hospitals & Physicians
|
|
o
|
Computers
|
|
|
o
|
Investing
|
|
o
|
Pharmaceuticals
|
|
o
|
Telecommunications
|
|
|
o
|
Investment Banking
|
|
o
|
Other Health Care
|
|
o
|
Other Technology
|
|
|
o
|
Pooled Investment Fund
|
|
|
|
|
Travel
|
|
|
o
|
Other Banking & Financial Services
|
x
|
Manufacturing
|
|
o
|
Airlines & Airports
|
|
|
Real Estate
|
|
o
|
Lodging & Conventions
|
|
|
o
|
Commercial
|
|
o
|
Tourism & Travel Services
|
|
|
o
|
Construction
|
|
o
|
Other Travel
|
|
|
o
|
REITS & Finance
|
o
|
Other
|
|
|
o
|
Residential
|
|
|
|
o
|
Other Real Estate
|
|
|
o
|
Business Services
|
|
|
|
Energy
|
|
|
|
o
|
Coal Mining
|
|
|
|
o
|
Electric Utilities
|
|
|
|
o
|
Energy Conservation
|
|
|
|
o
|
Environmental Services
|
|
|
|
o
|
Oil & Gas
|
|
|
|
o
|
Other Energy
|
|
|
Revenue Range
|
Aggregate Net Asset Value Range
|
|
o
|
No Revenues
|
o
|
No Aggregate Net Asset Value
|
|
o
|
$1 - $1,000,000
|
o
|
$1 - $5,000,000
|
|
o
|
$1,000,001 - $5,000,000
|
o
|
$5,000,001 - $25,000,000
|
|
o
|
$5,000,001 - $25,000,000
|
o
|
$25,000,001 - $50,000,000
|
|
o
|
$25,000,001 - $100,000,000
|
o
|
$50,000,001 - $100,000,000
|
|
x
|
Over $100,000,000
|
o
|
Over $100,000,000
|
|
o
|
Decline to Disclose
|
o
|
Decline to Disclose
|
|
o
|
Not Applicable
|
o
|
Not Applicable
|
|
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
|
o
|
Rule 504(b)(1) (not (i), (ii) or (iii))
|
o
|
Rule 505
|
|
o
|
Rule 504 (b)(1)(i)
|
x
|
Rule 506(b)
|
|
o
|
Rule 504 (b)(1)(ii)
|
o
|
Rule 506(c)
|
|
o
|
Rule 504 (b)(1)(iii)
|
o
|
Securities Act Section 4(a)(5)
|
|
|
o
|
Investment Company Act Section 3(c)
|
|
x
|
New Notice
|
Date of First Sale
|
2017-02-01
|
o
|
First Sale Yet to Occur
|
|
Does the Issuer intend this offering to last more than one year?
|
o
|
Yes
|
x
|
No
|
|
9. Type(s) of Securities Offered (select all that apply)
|
|
o
|
Pooled Investment Fund Interests
|
x
|
Equity
|
|
o
|
Tenant-in-Common Securities
|
o
|
Debt
|
|
o
|
Mineral Property Securities
|
x
|
Option, Warrant or Other Right to Acquire Another Security
|
|
o
|
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
|
o
|
Other (describe)
|
|
|
|
|
10. Business Combination Transaction
|
|
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
|
o
|
Yes
|
x
|
No
|
|
|
|
Clarification of Response (if Necessary)
|
|
|
|
|
Minimum investment accepted from any outside investor
|
$
0
USD
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
|
|
|
Street Address 1
|
Street Address 2
|
|
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
|
|
|
|
State(s) of Solicitation
|
o
|
All States
|
|
|
|
|
|
13. Offering and Sales Amounts
|
|
Total Offering Amount
|
$
USD
|
x
Indefinite
|
|
Total Amount Sold
|
$
1063796
USD
|
|
|
Total Remaining to be Sold
|
$
USD
|
x
Indefinite
|
|
|
|
Clarification of Response (if Necessary)
|
|
Estimated value of performance shares to be issued pursuant to Issuer's LTIP based upon the market price and conversion rate on 11/30/18, the earliest of which shares will not be issued until 2020, provided certain conditions are met under the LTIP.
|
|
o
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
|
|
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
|
8
|
|
15. Sales Commissions & Finders' Fees Expenses
|
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
|
Sales Commissions
|
$
0
USD
|
o
|
Estimate
|
|
Finders' Fees
|
$
0
USD
|
o
|
Estimate
|
|
|
|
Clarification of Response (if Necessary)
|
|
|
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
|
|
|
Clarification of Response (if Necessary)
|
|
|
|
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
|
|
Terms of Submission
|
|
|
In submitting this notice, each Issuer named above is:
|
|
|
|
-
Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
-
Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
-
Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
|
|
|
|
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
|
|
|
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
|
|
Issuer
|
Signature
|
Name of Signer
|
Title
|
Date
|
|
AKTIEBOLAGET ELECTROLUX
|
/s/ Sean A. Simmons
|
Sean A. Simmons
|
Attorney-in-Fact Under Power of Attorney dated 11/16/2018
|
2018-12-17
|
AB Electrolux (PK) (USOTC:ELUXY)
Historical Stock Chart
From May 2024 to Jun 2024
AB Electrolux (PK) (USOTC:ELUXY)
Historical Stock Chart
From Jun 2023 to Jun 2024
