SEC Form 4 · accession 0001209191-17-009209
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Len Blavatnik
10% Owner
ACCESS INDUSTRIES MANAGEMENT, LLC
10% Owner
ALTEP 2010 L.P.
Other
ALTEP 2011 L.P.
Other
ALTEP 2014 L.P.
Other
AI New Holdings 2 LLC
10% Owner
RSB 2 Ltd
10% Owner
Period of report
Feb 7, 2017
Accepted (ET)
Feb 9, 2017 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001489393
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary sharesF1,F2,F3 | Feb 7, 2017 | S | 345,895 | $92.4167 | D | 14,681,406 | D | |
| Ordinary sharesF1,F4 | Feb 7, 2017 | S | 1,163 | $92.4167 | D | 258,175 | D | |
| Ordinary sharesF1,F5 | Feb 7, 2017 | S | 725 | $92.4167 | D | 160,976 | D | |
| Ordinary sharesF1,F6 | Feb 7, 2017 | S | 347 | $92.4167 | D | 77,008 | D | |
| Ordinary sharesF7,F2,F3 | Feb 7, 2017 | S | 336,364 | $93.0024 | D | 14,345,042 | D | |
| Ordinary sharesF7,F4 | Feb 7, 2017 | S | 1,131 | $93.0024 | D | 257,044 | D | |
| Ordinary sharesF7,F5 | Feb 7, 2017 | S | 705 | $93.0024 | D | 160,271 | D | |
| Ordinary sharesF7,F6 | Feb 7, 2017 | S | 337 | $93.0024 | D | 76,671 | D | |
| Ordinary sharesF8,F2,F3 | Feb 7, 2017 | S | 311,322 | $93.7034 | D | 14,033,720 | D | |
| Ordinary sharesF8,F4 | Feb 7, 2017 | S | 1,046 | $93.7034 | D | 255,998 | D | |
| Ordinary sharesF8,F5 | Feb 7, 2017 | S | 653 | $93.7034 | D | 159,618 | D | |
| Ordinary sharesF8,F6 | Feb 7, 2017 | S | 312 | $93.7034 | D | 76,359 | D | |
| Ordinary sharesF9,F2,F3 | Feb 8, 2017 | S | 1,124,828 | $91.5908 | D | 12,908,892 | D | |
| Ordinary sharesF9,F4 | Feb 8, 2017 | S | 3,781 | $91.5908 | D | 252,217 | D | |
| Ordinary sharesF9,F5 | Feb 8, 2017 | S | 2,358 | $91.5908 | D | 157,260 | D | |
| Ordinary sharesF9,F6 | Feb 8, 2017 | S | 1,128 | $91.5908 | D | 75,231 | D | |
| Ordinary sharesF10,F2,F3 | Feb 9, 2017 | S | 894,223 | $92.2855 | D | 12,014,669 | D | |
| Ordinary sharesF10,F4 | Feb 9, 2017 | S | 3,006 | $92.2855 | D | 249,211 | D | |
| Ordinary sharesF10,F5 | Feb 9, 2017 | S | 1,874 | $92.2855 | D | 155,386 | D | |
| Ordinary sharesF10,F6 | Feb 9, 2017 | S | 897 | $92.2855 | D | 74,334 | D | |
| Ordinary sharesF11,F12 | holding | — | — | — | 41,144,973 | I | By entity | |
| Ordinary sharesF12,F13 | holding | — | — | — | 16,000,000 | I | By entity | |
| Ordinary sharesF12,F14 | holding | — | — | — | 4,972,699 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.1900 to $92.7450, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.0000 to $92.7600, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F11The securities reported are held directly by AI International Chemicals S.a r.l. ("AIIC") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in AIIC, Access Industries Holdings LLC holds a majority of the outstanding voting interests in AIIH, Access Industries, LLC holds a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.
- F12Each of the reporting persons disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities.
- F13The securities reported are held directly by AI European Holdings S.a r.l. ("AIEH") and may be deemed to be indirectly beneficially owned by Access Industries Holdings LLC, Access Industries, LLC, Access Industries Management, LLC, and Len Blavatnik because Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC control or own a majority of the voting equity of entities that directly or indirectly control AIEH, Access Industries, LLC holds a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC and Access Industries Holdings LLC and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the voting interests in Access Industries, LLC.
- F14The securities reported are held directly by AIPH Holdings LLC ("AIPH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC holds a majority of the outstanding voting interests in AIPH Holdings LLC, Access Industries, LLC holds a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIPH and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.
- F2The securities reported are held directly by AI New Holdings 2 LLC ("AI New") and may be deemed to be indirectly beneficially owned by RSB 2 Limted ("RSB 2"), Access Industries Management, LLC ("AIM LLC") and Len Blavatnik because RSB 2 is the sole member of AI New and as a result may be deemed to share voting and investment control over the shares held directly by AI New. AIM LLC is the manager of AI New and, as a result, may be deemed to have voting and investment control over the shares owned directly by AI New. Mr. Blavatnik controls AIM LLC and, as a result, may be deemed to share voting and investment power over the shares held by AI New.
- F3Each of the reporting persons (other than AI New) disclaims beneficial ownership of the securities held directly by AI New except to the extent of any pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities.
- F4The securities reported are held directly by Altep 2010 L.P. ("Altep 2010") and may be deemed to be indirectly beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2010 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2010) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities.
- F5The securities reported are held directly by Altep 2011 L.P. ("Altep 2011") and may be deemed to be indirectly beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2011 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2011) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities.
- F6The securities reported are held directly by Altep 2014 L.P. ("Altep 2014") and may be deemed to be indirectly beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2014 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2014) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.7500 to $93.3400, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.3450 to $94.2000, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.5000 to $92.5000, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.