-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EYvHpHA3f8QOMflu0coNO0FfNm6KJKnX7BRd/82KJoM5Wqm3rbOHv+FvP9QxXuxb TPU+cCZRE/gavoviug8WRg== 0001104659-10-057386.txt : 20101109 0001104659-10-057386.hdr.sgml : 20101109 20101109205655 ACCESSION NUMBER: 0001104659-10-057386 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20101103 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARES PARTNERS MANAGEMENT CO LLC CENTRAL INDEX KEY: 0001259042 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 101177977 MAIL ADDRESS: STREET 1: 1999 AVE OF THE STARS STREET 2: STE 1900 CITY: LOS ANGELES STATE: CA ZIP: 90067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARES MANAGEMENT LLC CENTRAL INDEX KEY: 0001259313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 101177978 MAIL ADDRESS: STREET 1: 1999 AVENUE OF THE STARS STREET 2: SUITE 1900 CITY: LOS ANGELES STATE: CA ZIP: 90067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LyondellBasell Industries N.V. CENTRAL INDEX KEY: 0001489393 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 980646235 STATE OF INCORPORATION: P7 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: WEENA 737 CITY: ROTTERDAM STATE: P7 ZIP: 3013AM BUSINESS PHONE: 713-309-4560 MAIL ADDRESS: STREET 1: WEENA 737 CITY: ROTTERDAM STATE: P7 ZIP: 3013AM REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARES CORPORATE OPPORTUNITIES FUND III LP CENTRAL INDEX KEY: 0001428903 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 101177980 BUSINESS ADDRESS: STREET 1: 1999 AVENUE OF THE STARS STREET 2: SUITE 1900 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 301-210-4100 MAIL ADDRESS: STREET 1: 1999 AVENUE OF THE STARS STREET 2: SUITE 1900 CITY: LOS ANGELES STATE: CA ZIP: 90067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACOF Operating Manager III LLC CENTRAL INDEX KEY: 0001462608 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 101177979 BUSINESS ADDRESS: STREET 1: C/O ARES MANAGEMENT LLC STREET 2: 2000 AVENUE OF THE STARS, 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310-201-4100 MAIL ADDRESS: STREET 1: C/O ARES MANAGEMENT LLC STREET 2: 2000 AVENUE OF THE STARS, 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 4/A 1 a4a.xml 4/A X0303 4/A 2010-11-03 2010-11-05 0 0001489393 LyondellBasell Industries N.V. LYB 0001428903 ARES CORPORATE OPPORTUNITIES FUND III LP 2000 AVENUE OF THE STARS 12TH FLOOR LOS ANGELES CA 90067 1 0 0 0 0001462608 ACOF Operating Manager III LLC 2000 AVENUE OF THE STARS 12TH FLOOR LOS ANGELES CA 90067 1 0 0 0 0001259313 ARES MANAGEMENT LLC 2000 AVENUE OF THE STARS 12TH FLOOR LOS ANGELES CA 90067 1 0 0 0 0001259042 ARES PARTNERS MANAGEMENT CO LLC 2000 AVENUE OF THE STARS 12TH FLOOR LOS ANGELES CA 90067 1 0 0 0 Class A Ordinary Shares 2010-11-03 4 S 0 35000 26.55 D 17045280 I See footnotes Class B Ordinary Shares Class A Ordinary Shares 2795375 2795375 I See footnotes This Form 4 is filed jointly by Ares Corporate Opportunities Fund III, L.P. ("ACOF III"), ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), Ares Management LLC ("Ares Management") and Ares Partners Management Company LLC ("APMC" and, together with ACOF III, ACOF Operating Manager III and Ares Management, the "Ares Entities") in respect of securities sold by funds affiliated with, and under the management of, Ares Management (the "Ares Funds") other than ACOF III. The manager of ACOF III is ACOF Operating Manager III. ACOF Operating Manager III is indirectly controlled by Ares Management, which, in turn, is indirectly controlled by APMC. ACOF III, on behalf of itself and the Ares Funds, has the right to nominate one initial Supervisory Board member of the Issuer pursuant to a Nomination Agreement between ACOF III and the Issuer dated April 30, 2010. Each of the Ares Entities and the Ares Funds (other than ACOF III and the Ares Funds, with respect to the securities held directly by ACOF III and the Ares Funds, respectively) and the officers, partners, members and managers of the Ares Entities and the Ares Funds expressly disclaims beneficial ownership of, and pecuniary interest in, these securities, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. On November 5, 2010, the reporting persons filed a Form 4 mistakenly reporting a sale of 35,000 Class B Ordinary Shares of the Issuer when in fact the sale was of 35,000 Class A Ordinary Shares of the Issuer. Also excludes 90,000 Class A Ordinary Shares that were inadvertently included in the total reported on the Form 3 filed on October 13, 2010. Reflects securities held by the Ares Funds, other than ACOF III. Each Class B Ordinary Share will convert to one Class A Ordinary Share at the earlier of (i) the request of the relevant holder of Class B Ordinary Shares with respect to the number of Class B Ordinary Shares specified by such holder, (ii) acquisition by the Issuer of one or more Class B shares or (iii) upon the first date upon which the closing price per share of the Class B Ordinary Shares exceeds 200% of $10.61 for at least forty-five trading days within a period of sixty consecutive trading days (provided however, that the closing price per share of the Class B Ordinary Shares must exceed such threshold on both the first and last day of the sixty day period); (continued in footnote 7) provided however, that the number of Class A Ordinary Shares into which Class B Ordinary Shares are convertible will be adjusted in the event of any stock split, subdivision of shares, combination of shares or stock dividend relating only to the Class A or Class B Ordinary Shares which does not relate also to the other class of ordinary shares in a pro rata manner such that a holder of Class B Ordinary Shares thereafter converted shall receive the number of Class A Ordinary Shares which such holder would have received with respect to such conversion had such Class B Ordinary Shares been converted immediately prior to such action. Excludes 24,960 Class B Ordinary Shares that were inadvertently included in the total reported on the Form 3 filed on October 13, 2010. See signatures attached as Exhibit 99.1 2010-11-09 EX-99.1 2 ex-99d1.htm EX-99.1 Exhibit 99

Exhibit 99.1

 

FORM 4 CONTINUATION SHEET — JOINT FILER INFORMATION

 

This Form 4 is filed jointly by Ares Corporate Opportunities Fund III, L.P., ACOF Operating Manager III, LLC, Ares Management LLC and Ares Partners Management Company LLC (collectively, the “Ares Entities”). The principal business address of each of the Ares Entities is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, California 90067.

 

Name of Designated Filer: Ares Corporate Opportunities Fund III, L.P.

Date of Event Requiring Statement: November 3, 2010

Issuer Name and Ticker or Trading Symbol: LyondellBasell Industries N.V. (LYB)

 


 

IN WITNESS WHEREOF, the undersigned hereby attach their signatures to this Exhibit 99.1 to the Statement of Form 4 as of November 9, 2010.

 

 

 

ARES CORPORATE OPPORTUNITIES FUND III, LP.

 

 

 

 

 

BY:  ACOF OPERATING MANAGER III, LLC

 

Its Manager

 

 

 

 

 

By:

/s/Michael D. Weiner

 

 

Name:

Michael D. Weiner

 

 

Title:

Authorized Signatory

 

 

 

 

 

ARES OPERATING MANAGER III, LLC

 

 

 

By:

/s/Michael D. Weiner

 

Name:

Michael D. Weiner

 

Title:

Authorized Signatory

 

 

 

 

 

 

 

ARES MANAGEMENT LLC

 

 

 

 

 

By:

/s/Michael D. Weiner

 

Name:

Michael D. Weiner

 

Title:

Authorized Signatory

 

 

 

 

 

ARES PARTNERS MANAGEMENT COMPANY LLC

 

 

 

 

 

By:

/s/Michael D. Weiner

 

Name:

Michael D. Weiner

 

Title:

Authorized Signatory

 

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