SEC Form 4 · accession 0001225208-15-007096
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karyn F. Ovelmen
Officer — EVP & CFO
Period of report
Mar 4, 2015
Accepted (ET)
Mar 6, 2015 · 12:31 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 | Mar 4, 2015 | M | 18,491 | $44.00 | A | 65,489 | D | |
| Class A ordinary sharesF1 | Mar 4, 2015 | M | 12,509 | $23.74 | A | 77,998 | D | |
| Class A ordinary sharesF2,F1 | Mar 4, 2015 | S | 12,509 | $86.12 | D | 65,489 | D | |
| Class A ordinary sharesF2,F1 | Mar 4, 2015 | S | 18,491 | $86.12 | D | 46,998 | D | |
| Class A ordinary sharesF1 | Mar 5, 2015 | M | 27,273 | $23.74 | A | 74,271 | D | |
| Class A ordinary sharesF3,F1 | Mar 5, 2015 | S | 400 | $88.0906 | D | 73,871 | D | |
| Class A ordinary sharesF4,F1 | Mar 5, 2015 | S | 26,873 | $87.8122 | D | 46,998 | 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 OptionF5 | $44.00 | Mar 4, 2015 | M | 18,491 | D | — | Feb 28, 2022 | Class A ordinary shares | 18,491 | 0 | D |
| Opt - Stock OptionF6 | $23.74 | Mar 4, 2015 | M | 12,509 | D | — | Oct 17, 2021 | Class A ordinary shares | 12,509 | 27,273 | D |
| Opt - Stock OptionF6 | $23.74 | Mar 5, 2015 | M | 27,273 | D | — | Oct 17, 2021 | Class A ordinary shares | 27,273 | 0 | D |
Explanation of responses
- F1Includes 31,163 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan; 8,676 granted on October 17, 2011 that vest on October 17, 2016; 9,811 granted on February 28, 2012 that vest on February 28, 2017; 7,348 granted on February 12, 2013 that vest on February 12, 2018 and 5,328 granted on February 20, 2014 that vest on February 20, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $85.75 to $86.71. The price reported above reflects the weighted-average sale price. The reporting person herby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $88.086 to $88.1. The price reported above reflects the weighted-average sale price. The reporting person herby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $87.08 to $88.08. The price reported above reflects the weighted-average sale price. The reporting person herby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5Granted pursuant to the issuer's long term incentive plan. The option was originally granted on February 28, 2012 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F6Granted pursuant to the issuer's long term incentive plan. The option was originally granted on October 17, 2011 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.