SEC Form 5 · accession 0001209191-18-010072
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Len Blavatnik
10% Owner
Access Industries Holdings LLC
10% Owner
ACCESS INDUSTRIES MANAGEMENT, LLC
10% Owner
ACCESS INDUSTRIES, LLC
10% Owner
AI INVESTMENTS HOLDINGS LLC
10% Owner
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 5:56 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 sharesF2,F3,F4 | Oct 31, 2017 | G | 600,000 | — | D | 4,372,699 | I | By LLC |
| Ordinary sharesF2,F3,F4 | Nov 1, 2017 | G | 850,000 | — | D | 3,522,699 | I | By LLC |
| Ordinary sharesF4,F5 | holding | — | — | — | 41,144,973 | I | By entity | |
| Ordinary sharesF4,F6 | holding | — | — | — | 16,000,000 | I | By entity | |
| Ordinary sharesF4,F7,F8 | holding | — | — | — | 221,554 | I | By partnerships | |
| Ordinary sharesF4,F8,F9 | holding | — | — | — | 10,704,141 | I | By LLCs |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These gifts are also reflected in a separate Form 5 filed by AIPH Holdings LLC ("AIPH").
- F2Gift.
- F3The securities reported were, at the time of transfer or December 31, 2017, as applicable, held directly by 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 controls a majority of the outstanding voting interests in AIPH, 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.
- F4Each 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.
- F5The securities reported were, at December 31, 2017, 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.
- F6The securities reported were, at December 31, 2017, 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 hold a majority of the outstanding voting interests in, 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.
- F7The securities reported were, at December 31, 2017, held directly as follows: (i) 74,028 ordinary shares by Altep 2010 L.P. ("Altep 2010"), (ii) 74,754 ordinary shares by Altep 2011 L.P. ("Altep 2011"), and (iii) 72,772 ordinary shares by Altep 2014 L.P. ("Altep 2014"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010, Altep 2011 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010, Altep 2011 and Altep 2014.
- F8Because of their relationships with the other Reporting Persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010, Altep 2011, Altep 2014 and AI New Holdings LLC. Each of the Reporting Persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Holdings, Inc., Altep 2010, Altep 2011, Altep 2014, AI New Holdings LLC and AI New Holdings 2 LLC.
- F9The securities reported were, at December 31, 2017, held directly as follows: (i) 10,456,829 ordinary shares owned directly by AI New Holdings 2 LLC, and (ii) 247,312 ordinary shares owned directly by AI New Holdings LLC. Each of Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI New Holdings 2 LLC because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AI New Holdings 2 LLC, and Access Industries Management, LLC controls AI New Holdings 2 LLC. Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI New Holdings LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI New Holdings LLC.