| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LyondellBasell Industries N.V. [ LYB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/06/2015 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Class A ordinary shares(1) | 04/06/2015 | M | 7,152 | A | $44 | 84,487(2) | D | |||
| Class A ordinary shares(1) | 04/06/2015 | M | 6,075 | A | $37.2 | 90,562(2) | D | |||
| Class A ordinary shares(1) | 04/06/2015 | M | 5,485 | A | $60.51 | 96,047(2) | D | |||
| Class A ordinary shares(1) | 04/06/2015 | M | 2,821 | A | $85.8 | 98,868(2) | D | |||
| Class A ordinary shares(1) | 04/06/2015 | F | 8,879 | D | $90.95 | 89,989(2) | D | |||
| Class A ordinary shares(1) | 04/06/2015 | S | 17,036 | D | $90 | 72,953(2) | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
| Opt - Stock Option(1) | $60.51 | 04/06/2015 | M | 5,485 | (3) | 02/12/2023 | Class A ordinary shares | 5,485 | $0.0000 | 5,485 | D | ||||
| Opt - Stock Option(1) | $85.8 | 04/06/2015 | M | 2,821 | (4) | 02/20/2017 | Class A ordinary shares | 2,821 | $0.0000 | 5,642 | D | ||||
| Opt - Stock Option(1) | $44 | 04/06/2015 | M | 7,152 | (5) | 02/28/2022 | Class A ordinary shares | 7,152 | $0.0000 | 0.0000 | D | ||||
| Opt - Stock Option(1) | $37.2 | 04/06/2015 | M | 6,075 | (6) | 06/02/2021 | Class A ordinary shares | 6,075 | $0.0000 | 0.0000 | D | ||||
| Explanation of Responses: |
| 1. The exercise of stock options, the sale of the shares acquired upon exercise and the withholding of shares by the Company in payment of exercise prices and withholding taxes reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2015. |
| 2. Includes 62,644 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 4,137 granted on June 2, 2011 vest on June 2, 2016; 3,921 granted on February 28, 2012 vest on February 28, 2017; 3,060 granted on February 20, 2014 vest on February 20, 2017; 3,008 vest on February 12, 2018; 4,424 granted on January 21, 2015 that vest on January 21, 2016, 6,636 granted on January 21, 2015 that vest on January 21, 2017, 11,059 granted on January 21, 2015 that vest on January 21, 2018, 11,059 granted on January 21, 2015 that vest on January 21, 2019; 11,059 granted on January 21, 2015 that vest on January 21, 2020 and 4,281 granted on February 17, 2015 that vest on February 17, 2018. |
| 3. Award granted on February 12, 2013 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant. |
| 4. Award granted on February 20, 2014 and vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant. |
| 5. Award granted on February 28, 2012 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant. |
| 6. Award granted on June 2, 2011 and vested in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant. |
| /s/ Amanda K. Maki, Attorney in Fact | 04/08/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||