SEC Form 4 · accession 0001225208-17-004193
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
Feb 20, 2017
Accepted (ET)
Feb 22, 2017 · 8:13 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 20, 2017 | F | 441 | $92.91 | D | 16,514 | D | |
| Class A ordinary sharesF1 | Feb 22, 2017 | M | 4,518 | $89.94 | A | 21,032 | D | |
| Class A ordinary sharesF1 | Feb 22, 2017 | M | 4,169 | $60.51 | A | 25,201 | D | |
| Class A ordinary sharesF1 | Feb 22, 2017 | M | 3,112 | $77.93 | A | 28,313 | D | |
| Class A ordinary sharesF1 | Feb 22, 2017 | M | 2,970 | $85.80 | A | 31,283 | D | |
| Class A ordinary sharesF2,F1 | Feb 22, 2017 | S | 14,769 | $94.0088 | D | 16,514 | 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 | Feb 22, 2017 | M | 4,169 | D | — | Feb 12, 2023 | Class A ordinary shares | 4,169 | 0 | D |
| Opt - Stock OptionF4 | $77.93 | Feb 22, 2017 | M | 3,112 | D | — | Feb 16, 2026 | Class A ordinary shares | 3,112 | 6,222 | D |
| Opt - Stock OptionF5 | $89.94 | Feb 22, 2017 | M | 4,518 | D | — | Feb 17, 2025 | Class A ordinary shares | 4,518 | 2,259 | D |
| Opt - Stock OptionF6 | $85.80 | Feb 22, 2017 | M | 2,970 | D | — | Feb 20, 2017 | Class A ordinary shares | 2,970 | 0 | D |
Explanation of responses
- F1Includes 7,478 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; 1,845 granted on February 17, 2015 that vest on February 17, 2018 and 2,407 granted on February 16, 2016 that vest on February 16, 2019.
- F2This transaction was executed in multiple trades at prices ranging from $94.00 to $94.06. 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.
- F3Granted pursuant to the issuer's long-term incentive plan. The option was originally granted on February 12, 2013 and vested 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. Award vests as follows: 3,112 vested on February 16, 2017; 3,111 vest on February 16, 2018 and 3,111 vest on February 16, 2019.
- F5Granted 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.
- F6Granted pursuant to the issuer's long-term incentive plan. The option was originally granted on February 20, 2014 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant.