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) 12/07/2012 | ||||||||||||||||||||||||||
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 | 12/07/2012 | J(5) | 16,000,000 | D | $0 | 63,961,051(2) | D(1) | |||
Class A Ordinary Shares | 12/07/2012 | J(5) | 16,000,000 | D | $0 | 0 | D(2) | |||
Class A Ordinary Shares | 12/07/2012 | J(6) | 63,961,051(6) | D | $0 | 0 | I(3) | By entity | ||
Class A Ordinary Shares | 16,000,000 | I(4) | By subsidiary |
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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The securities reported are held directly by AI International Chemicals Sarl ("AIIC") and may be deemed to be held indirectly by each of the other reporting persons, because AIIC is a wholly owned subsidiary of AI Investments Holdings LLC ("AIIH"), which was, prior to the consummation of the transactions reported on this Form 4, a wholly owned subsidiary of AI SMS L.P., a partnership of which AI SMS GP Limited is the general partner. Each of the reporting persons (other than AIIC) disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any of the securities reported on this Form. |
2. The securities reported disposed were held directly by AIIH and may be deemed to be beneficially owned by AI SMS L.P. and AI SMS GP Limited because AIIH was, prior to the consummation of the transactions reported on this Form 4, a subsidiary of AI SMS L.P., a partnership of which AI SMS GP Limited is the general partner. Direct ownership reflects change from indirect beneficial ownership exempt pursuant to Rule 16a-13. Each of the reporting persons (other than AIIH) disclaims beneficial ownership of these securities, except to the extent of its 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. |
3. The securities reported are held directly by AIIC which was, prior to the consummation of the transactions reported on this Form 4, an indirect subsidiary of AI SMS LP, a partnership of which AI SMS GP Limited is the general partner. |
4. The securities reported are held directly by AI European Holdings Sarl ("AIEH") and may be deemed to be beneficially owned by AI SMS L.P. and AI SMS GP Limited because AIEH is an indirect wholly owned subsidiary of AI SMS L.P., a partnership of which AI SMS GP Limited is the general partner. End of period ownership reflects change in form of beneficial ownership exempt pursuant to Rule 16a-13. Each of AIIC and AIIH disclaims beneficial ownership of these securities and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities. Each of AI SMS L.P. and AI SMS GP Limited disclaims beneficial ownership of these securities, except to the extent of its 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. |
5. Distribution of shares to parent holding company. |
6. Distribution by AI SMS L.P. (and AI SMS GP Limited) of interests in subsidiary to parent company. The securities continue to be owned directly by AIIC and may be deemed to be held indirectly by AIIH because AIIC is a wholly owned subsidiary of AIIH. |
/s/ Alejandro Moreno for AI International Chemicals Sarl and AI Investments Holdings LLC | 12/07/2012 | |
/s/ Joanna Vass and Aliza Tyson for Belvaux Management Limited for AI SMS L.P. and AI SMS GP Limited | 12/07/2012 | |
** 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. |