SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/01/2022 | 3. Issuer Name and Ticker or Trading Symbol LyondellBasell Industries N.V. [ LYB ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Ordinary Shares | 3,046.77(1) | D | |
Class A Ordinary Shares | 2,127.25(2) | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to buy) | (3) | 07/01/2028 | Class A Ordinary Shares | 225 | 104.65 | D | |
Stock Options (Right to buy) | (4) | 02/25/2031 | Class A Ordinary Shares | 2,827 | 99.21 | D | |
Stock Options (Right to buy) | (5) | 02/24/2032 | Class A Ordinary Shares | 2,134 | 89.26 | D | |
Stock Options (Right to buy) | (6) | 02/21/2029 | Class A Ordinary Shares | 701 | 83.3 | D | |
Stock Options (Right to buy) | (7) | 02/20/2030 | Class A Ordinary Shares | 1,912 | 78.15 | D |
Explanation of Responses: |
1. Includes 2,092 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan: 420 granted on February 20, 2020 that vest on February 20, 2023; 290 granted on February 25, 2021 that vest on February 25, 2024; 542 granted on February 25, 2021 that vest on February 25, 2024; 540 granted on February 24, 2022 that vest on February 24, 2025 and 300 granted on April 1, 2022 that vest on April 1, 2024. |
2. Includes 1,640 restricted stock units ("RSUs") held by spouse which were granted pursuant to the issuer's long-term incentive plan. |
3. Granted pursuant to the issuer's long-term incentive plan. Award has fully vested. |
4. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 943 vested on February 25, 2022, 942 vest on February 25, 2023 and 942 vest on February 25, 2024. |
5. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 712 vest on February 24, 2023, 711 vest on February 24, 2024 and 711 vest on February 24, 2025. |
6. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 701 vested on February 21, 2022. |
7. Granted pursuant to the issuer's long-term incentive plan. Award vests as follows: 956 vested on February 20, 2022 and 956 vest on February 20, 2023. |
Remarks: |
/s/ Lara A. Mason, Attorney-in-Fact | 10/11/2022 | |
** 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 5 (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. |