0001209191-18-057827.txt : 20181108 0001209191-18-057827.hdr.sgml : 20181108 20181108185623 ACCESSION NUMBER: 0001209191-18-057827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181106 FILED AS OF DATE: 20181108 DATE AS OF CHANGE: 20181108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AI INVESTMENTS HOLDINGS LLC CENTRAL INDEX KEY: 0001508237 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 181171036 BUSINESS ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122476400 MAIL ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: AI CHEMICAL HOLDINGS LLC DATE OF NAME CHANGE: 20101217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Access Industries Holdings LLC CENTRAL INDEX KEY: 0001391297 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 181171037 BUSINESS ADDRESS: STREET 1: C/O ACCESS INDUSTRIES MANAGEMENT, LLC. STREET 2: 730 FIFTH AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212 247 6400 MAIL ADDRESS: STREET 1: C/O ACCESS INDUSTRIES MANAGEMENT, LLC. STREET 2: 730 FIFTH AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACCESS INDUSTRIES, LLC CENTRAL INDEX KEY: 0001508227 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 181171038 BUSINESS ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122476400 MAIL ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACCESS INDUSTRIES MANAGEMENT, LLC CENTRAL INDEX KEY: 0001508226 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 181171039 BUSINESS ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122476400 MAIL ADDRESS: STREET 1: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blavatnik Len CENTRAL INDEX KEY: 0001326628 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34726 FILM NUMBER: 181171040 MAIL ADDRESS: STREET 1: C/O ACCESS INDUSTRIES STREET 2: 730 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 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: 1221 MCKINNEY ST STREET 2: SUITE 700 CITY: HOUSTON STATE: TX ZIP: 77010 BUSINESS PHONE: 713-309-7603 MAIL ADDRESS: STREET 1: 1221 MCKINNEY ST STREET 2: SUITE 700 CITY: HOUSTON STATE: TX ZIP: 77010 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-06 0 0001489393 LyondellBasell Industries N.V. LYB 0001508237 AI INVESTMENTS HOLDINGS LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 0001391297 Access Industries Holdings LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 0001508227 ACCESS INDUSTRIES, LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 0001508226 ACCESS INDUSTRIES MANAGEMENT, LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 0001326628 Blavatnik Len C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 Ordinary shares 2018-11-06 4 P 0 447333 94.656 A 1757905 D Ordinary shares 2018-11-06 4 P 0 67378 95.1148 A 1825283 D Ordinary shares 2018-11-07 4 P 0 105553 95.1078 A 1930836 D Ordinary shares 2018-11-07 4 P 0 132585 96.2099 A 2063421 D Ordinary shares 2018-11-07 4 P 0 134567 96.7959 A 2197988 D Ordinary shares 2018-11-08 4 P 0 243188 95.6789 A 2441176 D Ordinary shares 2018-11-08 4 P 0 471851 96.2876 A 2913027 D Ordinary shares 41144973 I By entity Ordinary shares 16000000 I By entity Ordinary shares 221554 I By partnerships Ordinary shares 10704141 I By LLCs Ordinary shares 3522699 I By LLC The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.0050 to $95.0000, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC. Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.0100 to $95.5500, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.5750 to $95.5700, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.5750 to $96.5700, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.5800 to $96.9400, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.9400 to $95.9350, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.9400 to $96.5800, inclusive. The reporting person undertakes to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The securities reported are held directly by AI International Chemicals S.a r.l. ("AIIC") and may be deemed to be indirectly beneficially owned by AIIH, Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in AIIC, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC. The securities reported are held directly by AI European Holdings S.a r.l. ("AIEH") and may be deemed to be indirectly beneficially owned by Access Industries Holdings LLC, Access Industries, LLC, Access Industries Management, LLC, and Len Blavatnik because Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC control, or hold a majority of the outstanding voting interests in, entities that directly or indirectly control AIEH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC and Access Industries Holdings LLC and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC. The securities reported are held directly as follows: (i) 74,028 ordinary shares by Altep 2010 L.P. ("Altep 2010"), (ii) 74,754 ordinary shares by Altep 2011 L.P. ("Altep 2011"), and (iii) 72,772 ordinary shares by Altep 2014 L.P. ("Altep 2014"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010, Altep 2011 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010, Altep 2011 and Altep 2014. Because of their relationships with the other Reporting Persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010, Altep 2011, Altep 2014, AI New Holdings LLC and AI New Holdings 2 LLC. Each of the Reporting Persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2011, Altep 2014, AI New Holdings LLC and AI New Holdings 2 LLC. The securities reported are held directly as follows: (i) 10,456,829 ordinary shares owned directly by AI New Holdings 2 LLC, and (ii) 247,312 ordinary shares owned directly by AI New Holdings LLC. Each of Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI New Holdings 2 LLC because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AI New Holdings 2 LLC, and Access Industries Management, LLC controls AI New Holdings 2 LLC. Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI New Holdings LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI New Holdings LLC. The securities reported are held directly by AIPH Holdings LLC ("AIPH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIPH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIPH and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC. /s/ Alejandro Moreno for AI Investments Holdings LLC 2018-11-08 /s/ Alejandro Moreno for Access Industries Holdings LLC 2018-11-08 /s/ Alejandro Moreno for Access Industries, LLC 2018-11-08 /s/ Alejandro Moreno for Access Industries Management, LLC 2018-11-08 /s/ Alejandro Moreno, as Attorney-in-Fact for Mr. Blavatnik 2018-11-08