SEC Form 4 · accession 0001225208-15-004814
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Timothy D. Roberts
Officer — EVP, Global O&P
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 6:16 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 |
|---|---|---|---|---|---|---|---|---|
| Class A ordinary sharesF1,F2 | Feb 17, 2015 | A | 6,981 | $0.00 | A | 74,857 | D | |
| Class A ordinary sharesF3 | Feb 17, 2015 | A | 4,281 | $0.00 | A | 79,138 | D | |
| Class A ordinary sharesF4,F3 | Feb 17, 2015 | A | 357 | $0.00 | A | 79,495 | D | |
| Class A ordinary sharesF5,F3 | Feb 17, 2015 | F | 97 | $89.94 | D | 79,398 | D | |
| Class A ordinary sharesF6,F3 | Feb 17, 2015 | F | 1,902 | $89.94 | D | 77,496 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Opt - Stock OptionF7 | $89.94 | Feb 17, 2015 | A | 15,728 | A | — | Feb 17, 2025 | Class A ordinary shares | 15,728 | 15,728 | D |
Explanation of responses
- F1Represents shares earned in connection with the qualified performance-based stock previously granted and unreportable on February 28, 2012 pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 17, 2015 following certification by the Issuer's compensation committee.
- F2Includes 67,190 restricted stock units ("RSU") granted pursuant to the issuer's long-term incentive plan: 364 granted on December 11, 2012 vest on February 28, 2015; 4,137 granted on June 2, 2011 vest on June 2, 2016; 3,921 granted on February 28, 2012 vest on February 28, 2017; 3,060 granted on February 20, 2014 vest on February 20, 2017; 3,008 vest on February 12, 2018; 2,821 vest on February 20, 2015; 2,821 vest on February 20, 2016; and 2,821 vest on February 20, 2017; 4,424 granted on January 21, 2015 that vest on January 21, 2016, 6,636 granted on January 21, 2015 that vest on January 21, 2017, 11,059 granted on January 21, 2015 that vest on January 21, 2018, 11,059 granted on January 21, 2015 that vest on January 21, 2019 and 11,059 granted on January 21, 2015 that vest on January 21, 2020.
- F3Includes 67,190 restricted stock units ("RSU") granted pursuant to the issuer's long-term incentive plan: 364 granted on December 11, 2012 vest on February 28, 2015; 4,137 granted on June 2, 2011 vest on June 2, 2016; 3,921 granted on February 28, 2012 vest on February 28, 2017; 3,060 granted on February 20, 2014 vest on February 20, 2017; 3,008 vest on February 12, 2018; 2,821 vest on February 20, 2015; 2,821 vest on February 20, 2016; and 2,821 vest on February 20, 2017; 4,424 granted on January 21, 2015 that vest on January 21, 2016, 6,636 granted on January 21, 2015 that vest on January 21, 2017, 11,059 granted on January 21, 2015 that vest on January 21, 2018, 11,059 granted on January 21, 2015 that vest on January 21, 2019; 11,059 granted on January 21, 2015 that vest on January 21, 2020 and 4,281 RSUs reported on this Form 4 that vest on February 17, 2018.
- F4Represents shares earned in connection with the qualified performance-based stock previously granted and unreportable on December 11, 2012, pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 17, 2015 following certification by the Issuer's compensation committee.
- F5Represents shares required to satisfy tax withholding obligations in connection with the vesting of 357 shares of qualified performance-based stock granted to the Reporting Person on December 11, 2012.
- F6Represents shares required to satisfy tax withholding obligations in connection with the vesting of 6,981 shares of qualified performance-based stock granted to the Reporting Person on February 28, 2012.
- F7Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 5,244 vest on February 17, 2016, 5,242 vest on February 17, 2017 and 5,242 vest on February 17, 2018.