SEC Form 4 · accession 0001225208-15-009809
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy D. Roberts
Officer — EVP, Global O&P
Period of report
Apr 6, 2015
Accepted (ET)
Apr 8, 2015 · 1:26 pm EDT
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 | Apr 6, 2015 | M | 7,152 | $44.00 | A | 84,487 | D | |
| Class A ordinary sharesF1,F2 | Apr 6, 2015 | M | 6,075 | $37.20 | A | 90,562 | D | |
| Class A ordinary sharesF1,F2 | Apr 6, 2015 | M | 5,485 | $60.51 | A | 96,047 | D | |
| Class A ordinary sharesF1,F2 | Apr 6, 2015 | M | 2,821 | $85.80 | A | 98,868 | D | |
| Class A ordinary sharesF1,F2 | Apr 6, 2015 | F | 8,879 | $90.95 | D | 89,989 | D | |
| Class A ordinary sharesF1,F2 | Apr 6, 2015 | S | 17,036 | $90.00 | D | 72,953 | 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 OptionF1,F3 | $60.51 | Apr 6, 2015 | M | 5,485 | D | — | Feb 12, 2023 | Class A ordinary shares | 5,485 | 5,485 | D |
| Opt - Stock OptionF1,F4 | $85.80 | Apr 6, 2015 | M | 2,821 | D | — | Feb 20, 2017 | Class A ordinary shares | 2,821 | 5,642 | D |
| Opt - Stock OptionF1,F5 | $44.00 | Apr 6, 2015 | M | 7,152 | D | — | Feb 28, 2022 | Class A ordinary shares | 7,152 | 0 | D |
| Opt - Stock OptionF1,F6 | $37.20 | Apr 6, 2015 | M | 6,075 | D | — | Jun 2, 2021 | Class A ordinary shares | 6,075 | 0 | D |
Explanation of responses
- F1The exercise of stock options, the sale of the shares acquired upon exercise and the withholding of shares by the Company in payment of exercise prices and withholding taxes reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2015.
- F2Includes 62,644 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 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; 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 granted on February 17, 2015 that vest on February 17, 2018.
- F3Award granted on February 12, 2013 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F4Award granted on February 20, 2014 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F5Award granted on February 28, 2012 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F6Award granted on June 2, 2011 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.