SEC Form 4 · accession 0001225208-15-004825
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
Samuel L. Smolik
Officer — VP HSE
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 6:22 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 | 2,334 | $0.00 | A | 41,774 | D | |
| Class A ordinary sharesF3 | Feb 17, 2015 | A | 855 | $0.00 | A | 42,629 | D | |
| Class A ordinary sharesF4,F3 | Feb 17, 2015 | A | 121 | $0.00 | A | 42,750 | D | |
| Class A ordinary sharesF5,F3 | Feb 17, 2015 | F | 33 | $89.94 | D | 42,717 | D | |
| Class A ordinary sharesF6,F3 | Feb 17, 2015 | F | 655 | $89.94 | D | 42,062 | 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 | 3,138 | A | — | Feb 17, 2025 | Class A ordinary shares | 3,138 | 3,138 | 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 37,379 restricted stock units ("RSU") granted pursuant to the issuer's long-term incentive plan: 1,610 granted on April 30, 2010 that vest on April 30, 2015 and 35,769 granted on April 30, 2010 that vest on April 30, 2015.
- F3Includes 37,379 restricted stock units ("RSU") granted pursuant to the issuer's long-term incentive plan: 1,610 granted on April 30, 2010 that vest on April 30, 2015; 35,769 granted on April 30, 2010 that vest on April 30, 2015 and 855 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 121 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 2,334 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 in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant of February 17, 2015.