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LyondellBasell Industries N.V. — Director's Dealing 2017
Feb 22, 2017
30388_dirs_2017-02-21_32244744-cbfa-44fa-8d6c-b0acdb13d8ff.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LyondellBasell Industries N.V. (LYB)
CIK: 0001489393
Period of Report: 2017-02-16
Reporting Person: Kaplan Jeffrey A (EVP & Chief Legal Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-16 | Class A ordinary shares | A | 3324.0000 | $0.0000 | Acquired | 14297.0000 | Direct |
| 2017-02-16 | Class A ordinary shares | A | 1081.0000 | $0.0000 | Acquired | 15378.0000 | Direct |
| 2017-02-16 | Class A ordinary shares | F | 320.0000 | $92.6900 | Disposed | 15058.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-16 | Opt - Stock Option | $92.6900 | A | 14304.0000 | Acquired | 2027-02-16 | Class A ordinary shares (14304.0000) | Direct |
Footnotes
F1: Includes 9,042 restricted stock units ("RSUs") granted pursuant to the issuer's long-term incentive plan including 1,689 granted on February 17, 2015 that vest on February 17, 2018; 761 granted on May 7, 2015 that vest on May 7, 2018 and 3,268 granted on February 26, 2016 that vest on February 16, 2019. The 3,324 RSUs reported on this Form 4 vest on February 16, 2020.
F2: Represents shares earned in connection with the performance-based stock previously granted and unreportable on February 20, 2014 pursuant to the issuer's long-term incentive plan. Shares were earned based upon the level of attainment of certain performance objectives and continued employment. These shares fully vested on February 16, 2017 following certification by the Issuer's compensation committee.
F3: Represents shares required to satisfy tax withholding obligations in connection with the vesting of 1,081 shares of performance-based stock granted to the Reporting Person on February 20, 2014.
F4: 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 16, 2017.