SEC Form 4 · accession 0001562180-18-001192

LyondellBasell Industries N.V. · LYB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Richard Roudeix

Officer — SVP, O&P - EAI

Period of report

Feb 21, 2018

Accepted (ET)

Feb 23, 2018 · 4:23 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
Class A Ordinary Shares^F1,F2	Feb 21, 2018	F	41	$109.09	D	5,208	D
Class A Ordinary Shares^F3,F2	Feb 21, 2018	F	161	$109.09	D	5,047	D
Class A Ordinary Shares^F4,F2	Feb 21, 2018	F	89	$109.09	D	4,958	D
Class A Ordinary Shares^F2	Feb 21, 2018	A	1,034	$0.00	A	5,992	D
Class A Ordinary Shares^F5,F2	Feb 21, 2018	A	442	$109.09	A	6,434	D
Class A Ordinary Shares^F6,F2	Feb 21, 2018	A	112	$109.09	A	6,546	D
Class A Ordinary Shares^F7,F2	Feb 21, 2018	A	243	$109.09	A	6,789	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options (Right to Buy)^F8	$109.09	Feb 21, 2018	A	5,216	A	—	Feb 21, 2028	Class A Ordinary Shares	5,216	5,216	D

Explanation of responses

F1Represents shares required to satisfy tax withholding obligations in connection with the vesting of 442 shares of performance-based stock granted to the Reporting Person on April 2, 2015.
F2Includes 2,717 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 45 granted on April 2, 2015 vest on April 2, 2018; 97 granted on July 1, 2015 which vest on July 1, 2018; 615 granted on February 16, 2016 that vest on February 16, 2019 and 926 granted on February 16, 2017 that vest on February 16, 2020. The 1,034 RSUs reported on this Form 4 vest on February 21, 2021.
F3Represents shares required to satisfy tax withholding obligations in connection with the vesting of 112 shares of performance-based stock granted to the Reporting Person on February 17, 2015.
F4Represents shares required to satisfy tax withholding obligations in connection with the vesting of 243 shares of performance-based stock granted to the Reporting Person on July 1, 2015.
F5Represents shares earned in connection with the performance-based stock previously granted and unreportable on February 17, 2015 pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 21, 2018 following certification by the Issuer's compensation committee.
F6Represents shares earned in connection with the performance-based stock previously granted and unreportable on April 2, 2015 pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 21, 2018 following certification by the Issuer's compensation committee.
F7Represents shares earned in connection with the performance-based stock previously granted and unreportable on July 1, 2015 pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 21, 2018 following certification by the Issuer's compensation committee.
F8Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 1,740 vest on February 21, 2019, 1,738 vest on February 21, 2020 and 1,738 vest on February 21, 2021.