Statement of Changes in Beneficial Ownership (4)
February 18 2020 - 11:36AM
Edgar (US Regulatory)
FORM 4
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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
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Seward James Malcolm |
2. Issuer Name and Ticker or Trading Symbol
LyondellBasell Industries N.V.
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LYB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, R&D, Tech & Sustain. |
(Last)
(First)
(Middle)
4TH FLOOR, ONE VINE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2020 |
(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 | 2/16/2020 | | F | | 161.00 (1) | D | $82.60 | 11813.00 (2) | D | |
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) | Represents shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting 464 shares of restricted stock units granted to the reporting person on February 16, 2017. |
(2) | Includes 3,073 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 472 granted on February 21, 2018 that vest on February 21, 2021; 1,740 granted on August 29, 2018 that vest on August 29, 2021; 651 granted on February 21, 2019 that vest on February 21, 2022 and 210 granted on August 15, 2019 that vest on August 15, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Seward James Malcolm 4TH FLOOR ONE VINE STREET LONDON, X0 W1J 0AH |
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| SVP, R&D, Tech & Sustain. |
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Signatures
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/s/ Lara A. Mason, Attorney-in-Fact | | 2/17/2020 |
**Signature of Reporting Person | Date |
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