Statement of Changes in Beneficial Ownership (4)
January 04 2022 - 5:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Patel Bhavesh V. |
2. Issuer Name and Ticker or Trading Symbol
LyondellBasell Industries N.V.
[
LYB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
4TH FLOOR, ONE VINE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2021 |
(Street)
LONDON, X0 W1J 0AH
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Ordinary Shares | 12/31/2021 | | D | | 966.00 (1) | D | $0.00 (2) | 186534.00 | D | |
Class A Ordinary Shares | 12/31/2021 | | D | | 12794.00 (3) | D | $0.00 (2) | 173740.00 | D | |
Class A Ordinary Shares | 12/31/2021 | | D | | 21713.00 (4) | D | $0.00 (2) | 152027.00 | D | |
Class A Ordinary Shares | 12/31/2021 | | F | | 13307.00 (5) | D | $92.23 | 138720.00 | D | |
Class A Ordinary Shares | 12/31/2021 | | F | | 8908.00 (6) | D | $92.23 | 129812.00 | D | |
Class A Ordinary Shares | 12/31/2021 | | F | | 3760.00 (7) | D | $92.23 | 126052.00 | D | |
Class A Ordinary Shares | | | | | | | | 207375.00 (8) | I | By Family Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reporting person retired on December 31, 2021 and, pursuant to the terms of his restricted stock unit award, forfeited the 966 reported on this Form 4. |
(2) | Price is not applicable. |
(3) | The reporting person retired on December 31, 2021 and, pursuant to the terms of his restricted stock unit award, forfeited the 12,794 reported on this Form 4. |
(4) | The reporting person retired on December 31, 2021 and, pursuant to the terms of his restricted stock unit award, forfeited the 21,713 reported on this Form 4. |
(5) | Represents shares withheld by the issuer to satisfy tax withholding obligations in connection with the prorated vesting 33,816 shares of restricted stock units granted to the reporting person on February 21, 2019. |
(6) | Represents shares withheld by the issuer to satisfy tax withholding obligations in connection with the prorated vesting 22,637 shares of restricted stock units granted to the reporting person on February 20, 2020. |
(7) | Represents shares withheld by the issuer to satisfy tax withholding obligations in connection with the prorated vesting 9,554 shares of restricted stock units granted to the reporting person on February 25, 2021. |
(8) | Represents shares held by the reporting person's family trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Patel Bhavesh V. 4TH FLOOR ONE VINE STREET LONDON, X0 W1J 0AH | X |
| Chief Executive Officer |
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Signatures
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/s/ Lara A. Mason, Attorney-in-Fact | | 1/4/2022 |
**Signature of Reporting Person | Date |
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