SEC Form 4 · accession 0001562180-18-004439
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
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 11:56 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 5, 2018 | M | 199 | $44.00 | A | 6,935 | D | |
| Class A Ordinary SharesF1 | Nov 5, 2018 | M | 820 | $44.00 | A | 7,755 | D | |
| Class A Ordinary SharesF1 | Nov 5, 2018 | F | 545 | $93.10 | D | 7,210 | 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)F2 | $44.00 | Nov 5, 2018 | M | 199 | D | — | Feb 28, 2022 | Class A Ordinary Shares | 199 | 820 | D |
| Stock Options (Right to Buy)F2 | $44.00 | Nov 5, 2018 | M | 820 | D | — | Feb 28, 2022 | Class A Ordinary Shares | 820 | 0 | D |
Explanation of responses
- F1Includes 2,575 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 615 granted on February 16, 2016 that vest on February 16, 2019; 926 granted on February 16, 2017 that vest on February 16, 2020 and 1,034 granted on February 21, 2018 that vest on February 21, 2021.
- F2Granted pursuant to the issuer's long-term incentive plan. Award vested as follows: 341 vested on February 28, 2013, 339 vested on February 28, 2014 and 339 vested on February 28, 2015.