SEC Form 4 · accession 0001225208-17-005489
LyondellBasell Industries N.V. · LYB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Doktycz
Officer — SVP, SP&T
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 2:39 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 1, 2017 | A | 2,237 | $0.00 | A | 2,237 | D | |
| Class A ordinary sharesF2 | Mar 1, 2017 | A | 1,598 | $0.00 | A | 3,835 | 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 | $93.89 | Mar 1, 2017 | A | 6,881 | A | — | Mar 1, 2027 | Class A ordinary shares | 6,881 | 6,881 | D |
| Opt - Stock OptionF4 | $93.89 | Mar 1, 2017 | A | 6,423 | A | — | Mar 1, 2027 | Class A ordinary shares | 6,423 | 13,304 | D |
Explanation of responses
- F1Includes 2,237 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 747 granted March 1, 2017 vest on March 1, 2018; 745 granted March 1, 2017 vest on March 1, 2019 and 745 granted March 1, 2017 vest on March 1, 2020.
- F2Includes 3,835 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 747 granted March 1, 2017 vest on March 1, 2018; 745 granted March 1, 2017 vest on March 1, 2019; 745 granted March 1, 2017 vest on March 1, 2020 and 1,598 granted on March 1, 2017 that vest on March 1, 2020.
- F3Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 2,295 vest on March 1, 2018, 2,293 vest on March 1, 2019 and 2,293 vest on March 1, 2020.
- F4Granted 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 March 1, 2017.