SEC Form 4 · accession 0001225208-16-027020
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Kaplan
Officer — EVP & Chief Legal Officer
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 6:11 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 16, 2016 | A | 3,268 | $0.00 | A | 10,973 | 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 OptionF2 | $77.93 | Feb 16, 2016 | A | 12,675 | A | — | Feb 16, 2026 | Class A ordinary shares | 12,675 | 12,675 | D |
Explanation of responses
- F1Includes 5,718 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan including 1,689 granted on February 17, 2015 that vest on February 17, 2018 and 761 granted on May 7, 2015 that vest on May 7, 2018. The 3,268 RSUs reported on this Form 4 vest on February 16, 2019.
- F2Granted 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 16, 2016.