Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 4:32PM
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)
2/20/2020 |
(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 | 2/20/2020 | | A | | 35431.00 | A | $0.00 | 165389.00 (1) | D | |
Class A ordinary shares | | | | | | | | 195375.00 | 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 |
Stock Options (Right to Buy) | $83.35 | 2/20/2020 | | A | | 242060.00 | | (2) | 2/20/2030 | Class A Ordinary Shares | 242060.00 | $0.00 | 242060.00 | D | |
Explanation of Responses: |
(1) | Includes 97,284 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 27,071 granted on February 21, 2018 that vest on February 21, 2021 and 34,782 granted on February 21, 2019 that vest on February 21, 2022. The 35,431 RSUs reported on this Form 4 vest on February 20, 2023. |
(2) | Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 80,688 vest on February 20, 2021; 80,686 vest on February 20, 2022 and 80,686 vest on February 20, 2023. |
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 | | 2/24/2020 |
**Signature of Reporting Person | Date |
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