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) 03/01/2021 | ||||||||||||||||||||||||||
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 | 03/01/2021 | M(1) | 1,663 | A | $89.94 | 16,183(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | M(1) | 2,728 | A | $83.35 | 18,911(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | M(1) | 1,997 | A | $92.69 | 20,908(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | M(1) | 2,086 | A | $77.93 | 22,994(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | M(1) | 2,377 | A | $88.5 | 25,371(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | M(1) | 424 | A | $72.6 | 25,795(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 1,805 | D | $106.34 | 23,990(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 1,868 | D | $106.34 | 22,122(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 2,176 | D | $106.34 | 19,946(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 1,534 | D | $106.34 | 18,412(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 357 | D | $106.34 | 18,055(2) | D | |||
Class A Ordinary Shares | 03/01/2021 | F(1) | 2,431 | D | $106.34 | 15,624(2) | D |
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 | ||||||||
Stock Options (Right to Buy) | $92.69 | 03/01/2021 | M(1) | 1,997 | (3) | 02/16/2027 | Class A Ordinary Shares | 1,997 | $0.00 | 0.00 | D | ||||
Stock Options (Right to Buy) | $89.94 | 03/01/2021 | M(1) | 1,663 | (4) | 02/17/2025 | Class A Ordinary Shares | 1,663 | $0.00 | 0.00 | D | ||||
Stock Options (Right to Buy) | $88.5 | 03/01/2021 | M(1) | 2,377 | (5) | 02/21/2029 | Class A Ordinary Shares | 2,377 | $0.00 | 1,188 | D | ||||
Stock Options (Right to Buy) | $83.35 | 03/01/2021 | M(1) | 2,728 | (6) | 02/20/2030 | Class A Ordinary Shares | 2,728 | $0.00 | 5,456 | D | ||||
Stock Options (Right to Buy) | $77.93 | 03/01/2021 | M(1) | 2,086 | (7) | 02/16/2026 | Class A Ordinary Shares | 2,086 | $0.00 | 0.00 | D | ||||
Stock Options (Right to Buy) | $72.6 | 03/01/2021 | M(1) | 424 | (8) | 08/15/2029 | Class A Ordinary Shares | 424 | $0.00 | 848 | D |
Explanation of Responses: |
1. Represents a cashless exercise-and-hold, where shares were withheld to cover the option exercise price and anticipated taxes, and the remaining shares are retained by the reporting person. |
2. Includes 5,232 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 1,740 granted on August 29, 2018 that vest on August 29, 2021; 651 granted on February 21, 2019 that vest on February 21, 2022; 210 granted on August 15, 2019 that vest on August 15, 2022; 1,198 granted on February 20, 2020 that vest on February 20, 2023 and 1,433 granted on February 25, 2021 that vest on February 25, 2024. |
3. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 667 vested on February 16, 2018, 665 vested on February 16, 2019 and 665 vested on February 16, 2020. |
4. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 555 vested on February 17, 2016, 554 vested on February 17, 2017 and 554 vested on February 17, 2018. |
5. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 1,189 vested on February 21, 2020, 1,188 vested on February 21, 2021 and 1,188 vest on February 21, 2022. |
6. Granted pursuant to the issuer's long-term incentive plan. Award vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant of February 20, 2020. |
7. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 696 vested on February 16, 2017, 695 vested on February 16, 2018 and 695 vested on February 16, 2019. |
8. Granted pursuant to the issuer's long-term incentive plan. Award vests in three equal installments on the 1st, 2nd and 3rd anniversaries of the date of grant of August 15, 2019. |
Remarks: |
/s/ Lara A. Mason, Attorney-in-Fact | 03/03/2021 | |
** 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. |