Kaplan Jeffrey A's Form 4 filing
LyondellBasell Industries N.V. (LYB) · filed Nov 22, 2023
- Accession no.
- 0001562180-23-007882
- Filed
- Nov 22, 2023
- Trade date
- Nov 20, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.54M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kaplan Jeffrey ACIK 0001634184 | Officer (EVP and General Counsel) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 20, 2023 | Class A Ordinary Shares | MOption exerciseAcquired | +10,934 | $78.15 | +$854,492.1 | 60,810 | Direct | |
| Nov 20, 2023 | Class A Ordinary Shares | SSaleDisposed | −5,000 | $96.79F2 | −$483,950 | 55,810 | Direct | |
| Nov 20, 2023 | Class A Ordinary Shares | SSaleDisposed | −10,934 | $96.84F3 | −$1,058,848.56 | 44,876 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 20, 2023 | Class A Ordinary Shares | MOption exerciseDisposed | −10,934 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was executed in multiple trades at prices ranging from $96.65 USD to $96.96 USD. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $96.66 USD to $97.01 USD. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.