Statement of Changes in Beneficial Ownership (4)
February 21 2020 - 5:04PM
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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3235-0287
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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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Foley Kimberly A |
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) VP Health Safety & Environment |
(Last)
(First)
(Middle)
4TH FLOOR, ONE VINE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2020 |
(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 | 2/19/2020 | | A | | 65.00 (1) | A | $81.95 | 15076.547 (2) | D | |
Class A Ordinary Shares | 2/19/2020 | | A | | 520.00 (3) | A | $81.95 | 15596.547 (2) | D | |
Class A Ordinary Shares | 2/19/2020 | | F | | 153.00 (4) | D | $81.95 | 15443.547 (2) | D | |
Class A Ordinary Shares | 2/19/2020 | | F | | 16.00 (5) | D | $81.95 | 15427.547 (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 from the settlement of dividend equivalents that accrued on the performance-based stock units prior to vesting. |
(2) | Includes 1,094 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 482 granted on February 21, 2018 that vest on February 21, 2021 and 612 granted on February 21, 2019 that vest on February 21, 2022. |
(3) | Represents shares earned in connection with the performance-based stock units previously granted and unreportable on February 16, 2017 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 19, 2020 following certification by the Issuer's compensation committee. |
(4) | Represents shares required to satisfy tax withholding obligations in connection with the vesting of 520 shares of performance-based stock units granted to the Reporting Person on February 16, 2017. |
(5) | Represents shares required to satisfy tax withholding obligations in connection with the settlement of dividend equivalents accrued of 65 shares of performance-based stock units granted to the Reporting Person on February 16, 2017. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Foley Kimberly A 4TH FLOOR ONE VINE STREET LONDON, X0 W1J 0AH |
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| VP Health Safety & Environment |
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Signatures
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/s/ Lara A. Mason, Attorney-in-Fact | | 2/21/2020 |
**Signature of Reporting Person | Date |
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