SEC Form 4 · accession 0001225208-15-021143
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacquelyn H Wolf
Officer — SVP, Human Resources
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 11:45 am 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 | Nov 18, 2015 | M | 8,339 | $60.51 | A | 16,472 | D | |
| Class A ordinary sharesF1 | Nov 18, 2015 | M | 5,200 | $48.84 | A | 21,672 | D | |
| Class A ordinary sharesF1 | Nov 18, 2015 | M | 1,487 | $85.80 | A | 23,159 | D | |
| Class A ordinary sharesF1 | Nov 18, 2015 | F | 1,403 | $95.07 | D | 21,756 | D | |
| Class A ordinary sharesF2,F1 | Nov 18, 2015 | S | 1,450 | $94.436 | D | 20,306 | D | |
| Class A ordinary sharesF1 | Nov 18, 2015 | F | 3,598 | $95.07 | D | 16,708 | D | |
| Class A ordinary sharesF1 | Nov 18, 2015 | F | 6,137 | $95.07 | D | 10,571 | D | |
| Class A ordinary sharesF1 | Nov 19, 2015 | S | 1,944 | $94.60 | D | 8,627 | 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 OptionF3 | $60.51 | Nov 18, 2015 | M | 8,339 | D | — | Feb 12, 2023 | Class A ordinary shares | 8,339 | 4,169 | D |
| Opt - Stock OptionF4 | $85.80 | Nov 18, 2015 | M | 1,487 | D | — | Feb 20, 2017 | Class A ordinary shares | 1,487 | 2,970 | D |
| Opt - Stock OptionF5 | $48.84 | Nov 18, 2015 | M | 5,200 | D | — | Sep 1, 2022 | Class A ordinary shares | 5,200 | 0 | D |
Explanation of responses
- F1Includes 6,683 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 939 granted on September 1, 2012 vest on September 1, 2017; 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 granted on February 17, 2015 that vest on February 17, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $94.4339 to $94.44. The price reported above reflects the weighted-average sale price. The reporting person hereby 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.
- F3Granted pursuant to the issuer's long-term incentive plan. The option was originally granted on February 12, 2013 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F4Granted pursuant to the issuer's long-term incentive plan. The option was originally granted on February 20, 2014 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.
- F5Granted pursuant to the issuer's long-term incentive plan. The option was originally granted on September 1, 2012 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.