SEC Form 4 · accession 0001225208-15-004835
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
Jacquelyn H Wolf
Officer — SVP, Human Resources
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 7:00 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 | Feb 17, 2015 | A | 1,845 | $0.00 | A | 6,900 | D | |
| Class A ordinary sharesF2,F1 | Feb 17, 2015 | A | 1,650 | $0.00 | A | 8,550 | D | |
| Class A ordinary sharesF3,F1 | Feb 17, 2015 | A | 86 | $0.00 | A | 8,636 | D | |
| Class A ordinary sharesF4,F1 | Feb 17, 2015 | F | 24 | $89.94 | D | 8,612 | D | |
| Class A ordinary sharesF5,F1 | Feb 17, 2015 | F | 462 | $89.94 | D | 8,150 | 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 OptionF6 | $89.94 | Feb 17, 2015 | A | 6,777 | A | — | Feb 17, 2025 | Class A ordinary shares | 6,777 | 6,777 | D |
Explanation of responses
- F1Includes 4,926 restricted stock units ("RSU") granted pursuant to the issuer's long-term incentive plan: 939 granted on September 1, 2012 vest on September 1, 2017; 88 granted on December 11, 2012 vest on September 1, 2015; 2,287 granted on February 12, 2013 vest on February 12, 2018; 1,612 granted on February 20, 2014 vest on February 20, 2017 and 1,845 RSUs reported on this Form 4 that vest on February 17, 2018.
- F2Represents 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.
- F3Represents 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.
- F4Represents shares required to satisfy tax withholding obligations in connection with the vesting of 86 shares of qualified performance-based stock granted to the Reporting Person on December 11, 2012.
- F5Represents shares required to satisfy tax withholding obligations in connection with the vesting of 1,650 shares of qualified performance-based stock granted to the Reporting Person on February 28, 2012.
- F6Granted 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.