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organization · Reporting owner

ACCESS INDUSTRIES, LLC

Disclosed activity across 5 companies

Tapewire entity
51978
SEC CIK
0001508227

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Chemomab Therapeutics Ltd.ANCN · Entity 7653Affiliate of 10% OwnerJanuary 01, 2020January 02, 2020
Gamida Cell Ltd.GMDA · Entity 9465510% ownerJanuary 01, 2022January 13, 2022
LyondellBasell Industries N.V.LYB · Entity 324610% ownerMarch 09, 2026March 11, 2026
Warner Music Group Corp.WMG · Entity 207610% ownerApril 16, 2026April 20, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Chemomab Therapeutics Ltd.

Report date January 01, 2020 · Filed January 02, 2020

Jointly reported with Access Industries Holdings LLC, Clal Biotechnology Industries Ltd., ACCESS INDUSTRIES MANAGEMENT, LLC, Blavatnik Len

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect6,521,753 Reported balance Holding disclosure · report date 2020-01-01 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 6,521,753

F1: Consists of 1,304,347 American Depositary Shares ("ADSs"), each of which represents five ordinary shares, no par value ("Ordinary Shares"), of the Issuer, evidenced by American Depositary Receipts.

F2: The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose.

Ordinary SharesSEC Table I · non-derivativeDirect6,911,166 Reported balance Holding disclosure · report date 2020-01-01 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 6,911,166

F3: Consists of 6,585,081 Ordinary Shares and 65,217 ADSs.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.93 · Expires 2023-06-29DirectNot disclosed Reported balance Holding disclosure · report date 2020-01-01 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F5: On June 29, 2018, pursuant to a securities purchase agreement, dated March 29, 2018, between the Issuer and certain investors, CBI was issued a warrant to purchase 1,041,185 Ordinary Shares, as partial consideration for repayment of financing that was provided to the Issuer by CBI. Pursuant to the warrant agreement, dated June 20, 2018 (the "Warrant Agreement"), each warrant is exercisable for one Ordinary Share.

F6: CBI may elect to exercise the warrant in whole or in part and from time to time at any time until June 29, 2023, in cash or on a net issuance basis, in an amount equal to the aggregate exercise price for the Ordinary Shares being acquired upon exercise. The number of Ordinary Shares purchasable upon exercise of the warrant and the exercise price is subject to adjustments, as set forth in the Warrant Agreement. On February 14, 2019, in connection with the closing of the Issuer's initial public offering of ADSs, as a result of triggering certain price protection rights, the warrant was adjusted to provide for the purchase of an additional 1,355,311 Ordinary Shares from the Issuer.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

Employee stock optionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.47 · Expires 2029-11-13DirectNot disclosed Reported balance Holding disclosure · report date 2020-01-01 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance Not disclosed

F7: One-third of the options vest on November 10, 2020 and one-twelfth at the end of each calendar quarter thereafter, until fully vested.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Consists of 1,304,347 American Depositary Shares ("ADSs"), each of which represents five ordinary shares, no par value ("Ordinary Shares"), of the Issuer, evidenced by American Depositary Receipts.

F2: The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose.

F3: Consists of 6,585,081 Ordinary Shares and 65,217 ADSs.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

F5: On June 29, 2018, pursuant to a securities purchase agreement, dated March 29, 2018, between the Issuer and certain investors, CBI was issued a warrant to purchase 1,041,185 Ordinary Shares, as partial consideration for repayment of financing that was provided to the Issuer by CBI. Pursuant to the warrant agreement, dated June 20, 2018 (the "Warrant Agreement"), each warrant is exercisable for one Ordinary Share.

F6: CBI may elect to exercise the warrant in whole or in part and from time to time at any time until June 29, 2023, in cash or on a net issuance basis, in an amount equal to the aggregate exercise price for the Ordinary Shares being acquired upon exercise. The number of Ordinary Shares purchasable upon exercise of the warrant and the exercise price is subject to adjustments, as set forth in the Warrant Agreement. On February 14, 2019, in connection with the closing of the Issuer's initial public offering of ADSs, as a result of triggering certain price protection rights, the warrant was adjusted to provide for the purchase of an additional 1,355,311 Ordinary Shares from the Issuer.

F7: One-third of the options vest on November 10, 2020 and one-twelfth at the end of each calendar quarter thereafter, until fully vested.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

This filing explicitly reported no securities owned.

LyondellBasell Industries N.V.

Report date March 09, 2026 · Filed March 11, 2026

Jointly reported with AI INVESTMENTS HOLDINGS LLC, Access Industries Holdings LLC, ACCESS INDUSTRIES MANAGEMENT, LLC, Blavatnik Len

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC1,000,000 Reported balance After 2026-03-09 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2026-03-09 · Gift · Disposed 464,610 · Balance 1,000,000

F1: These shares were donated by Access Industries Core Holdings LLC (formerly AIPH Holdings LLC) ("AICH") for no consideration as a charitable contribution.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AICH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AICH and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC5,574,787 Reported balance After 2026-03-09 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2026-03-09 · Sale · Disposed 80,679 · Balance 5,574,787

F4: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $66.72 to $67.7193 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Investments LLC and AICH.

F8: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC5,385,510 Reported balance After 2026-03-09 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2026-03-09 · Sale · Disposed 189,277 · Balance 5,385,510

F5: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $67.72 to $68.715 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Investments LLC and AICH.

F8: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC5,270,918 Reported balance After 2026-03-09 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2026-03-09 · Sale · Disposed 114,592 · Balance 5,270,918

F6: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $68.72 to $69.19 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Investments LLC and AICH.

F8: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC41,195,179 Reported balance Holding disclosure · report date 2026-03-09 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 41,195,179

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F10: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AIIH, Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy LLC204,253 Reported balance Holding disclosure · report date 2026-03-09 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 204,253

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Investments LLC and AICH.

F11: The securities reported are held directly by AI Altep Investments LLC and may be deemed to be indirectly beneficially owned by Len Blavatnik because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC.

Ordinary sharesSEC Table I · non-derivativeDirect765,154 Last balance in matching sequence After 2026-03-09 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 3 · 2026-03-09 · Sale · Disposed 177 · Balance 765,819

F4: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $66.72 to $67.7193 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F9: The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Row 5 · 2026-03-09 · Sale · Disposed 414 · Balance 765,405

F5: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $67.72 to $68.715 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F9: The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Row 7 · 2026-03-09 · Sale · Disposed 251 · Balance 765,154

F6: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $68.72 to $69.19 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F9: The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Ordinary sharesSEC Table I · non-derivativeIndirectBy partnership16,000,000 Reported balance Holding disclosure · report date 2026-03-09 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 16,000,000

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F12: The securities reported are held directly by AI European Holdings L.P. ("AIEH") and may be deemed to be indirectly beneficially owned by Access Industries Holdings LLC, Access Industries, LLC, Access Industries Management, LLC, and Len Blavatnik because Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC control, or hold a majority of the outstanding voting interests in, entities that directly or indirectly control AIEH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC and Access Industries Holdings LLC and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were donated by Access Industries Core Holdings LLC (formerly AIPH Holdings LLC) ("AICH") for no consideration as a charitable contribution.

F2: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AICH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AICH and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

F4: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $66.72 to $67.7193 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F5: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $67.72 to $68.715 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F6: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $68.72 to $69.19 inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F7: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of AI Altep Investments LLC and AICH.

F8: The securities reported are held directly by AICH and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

F9: The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

F10: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AIIH, Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

F11: The securities reported are held directly by AI Altep Investments LLC and may be deemed to be indirectly beneficially owned by Len Blavatnik because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC.

F12: The securities reported are held directly by AI European Holdings L.P. ("AIEH") and may be deemed to be indirectly beneficially owned by Access Industries Holdings LLC, Access Industries, LLC, Access Industries Management, LLC, and Len Blavatnik because Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC control, or hold a majority of the outstanding voting interests in, entities that directly or indirectly control AIEH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC and Access Industries Holdings LLC and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table II · derivative / convertible securityIndirectBy trust1,120,000 Reported balance After 2026-04-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-04-16 · Other · Disposed 280,000 · Balance 1,120,000

F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5: On April 16, 2026, LB 2020 Family Trust (the "Trust") made a distribution for no consideration of an aggregate of 280,000 shares of Class B Common Stock to VLB Holdings LLC.

F6: The securities reported are held directly by the Trust and may be deemed to be beneficially owned by Mr. Blavatnik because Mr. Blavatnik is a co-trustee of the Trustee. Each of the reporting persons (other than the Trust) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect247,600,227 Reported balance Holding disclosure · report date 2026-04-16 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance 247,600,227

F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by Access Industries Core Holdings LLC (formerly known as AIPH Holdings, LLC) ("AICH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy corporation517,025 Reported balance Holding disclosure · report date 2026-04-16 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 517,025

F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3: The securities reported are held directly by AIBFF, Inc. (formerly known as AI Altep Holdings, Inc.) ("AIBFF") and may be deemed to be beneficially owned by Mr. Blavatnik because Mr. Blavatnik controls AIBFF. Each of the reporting persons (other than AIBFF) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy corporation125,000,000 Reported balance Holding disclosure · report date 2026-04-16 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 125,000,000

F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4: The securities reported are held directly by Entertainment Holdings II LLC ("EH") and may be deemed to be beneficially owned by AIEH, AICH, AIH, AI, AIM and Mr. Blavatnik because AIEH is the parent of EH, AICH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AICH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than EH), and each of their affiliated entities and the officers, partners, members and managers thereof, disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by Access Industries Core Holdings LLC (formerly known as AIPH Holdings, LLC) ("AICH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3: The securities reported are held directly by AIBFF, Inc. (formerly known as AI Altep Holdings, Inc.) ("AIBFF") and may be deemed to be beneficially owned by Mr. Blavatnik because Mr. Blavatnik controls AIBFF. Each of the reporting persons (other than AIBFF) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4: The securities reported are held directly by Entertainment Holdings II LLC ("EH") and may be deemed to be beneficially owned by AIEH, AICH, AIH, AI, AIM and Mr. Blavatnik because AIEH is the parent of EH, AICH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AICH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than EH), and each of their affiliated entities and the officers, partners, members and managers thereof, disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F5: On April 16, 2026, LB 2020 Family Trust (the "Trust") made a distribution for no consideration of an aggregate of 280,000 shares of Class B Common Stock to VLB Holdings LLC.

F6: The securities reported are held directly by the Trust and may be deemed to be beneficially owned by Mr. Blavatnik because Mr. Blavatnik is a co-trustee of the Trustee. Each of the reporting persons (other than the Trust) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2020-03-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,896,176 Reported balance After 2020-03-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-03-24 · Sale · Disposed 117,400 · Balance 1,896,176

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose.

Common StockSEC Table I · non-derivativeIndirectBy corporation856,304 Reported balance After 2020-03-24 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-03-24 · Sale · Disposed 84,286 · Balance 856,304

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.19 to $2.21, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

Common StockSEC Table I · non-derivativeIndirectBy corporation940,590 Reported balance After 2020-03-23 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2020-03-23 · Sale · Disposed 50,358 · Balance 940,590

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.16 to $2.19, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2: The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.19 to $2.21, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F4: The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.16 to $2.19, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 30, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 462 $84.94 $39,240.52
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 13

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 69,067

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F12 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.22, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F8 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F9 · ownership.direct: The securities reported are held directly by Altep 2014.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 210 $84.94 $17,836.60
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 12

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,780

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F12 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.22, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 770 $84.94 $65,400.87
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 11

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 41,197,733

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F12 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.22, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F6 · ownership.direct: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 1,001,181 $84.94 $85,036,509.65
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 10

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 7,262,204

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F12 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.22, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F5 · ownership.direct: The securities reported are held directly by AICH and and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

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November 29, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 18 $84.99 $1,529.90
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 9

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 3,443

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F10 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.4325, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F8 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F11 · ownership.direct: The securities reported are held directly by Altep 2010.

Read SEC document
November 29, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 179 $84.99 $15,213.98
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 8

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 69,529

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F10 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.4325, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F8 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F9 · ownership.direct: The securities reported are held directly by Altep 2014.

Read SEC document
November 29, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 82 $84.99 $6,969.53
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 7

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,990

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F10 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.4325, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 29, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 298 $84.99 $25,328.30
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 6

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 41,198,503

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F10 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.4325, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F6 · ownership.direct: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 29, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 387,149 $84.99 $32,905,458.25
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 5

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 8,263,385

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F10 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.50 to $85.4325, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F5 · ownership.direct: The securities reported are held directly by AICH and and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

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November 28, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 6 $84.88 $509.30
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 4

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 69,708

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F2 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.51 to $85.19, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F8 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F9 · ownership.direct: The securities reported are held directly by Altep 2014.

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November 28, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 3 $84.88 $254.65
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 3

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,072

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F2 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.51 to $85.19, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 28, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 9 $84.88 $763.95
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 2

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 41,198,801

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F2 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.51 to $85.19, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F6 · ownership.direct: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 28, 2022 Filed Dec 1, 2022 00:45 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 12,054 $84.88 $1,023,184.50
Disclosure

SEC source: 0001209191-22-059114 · doc4.xml · nonDerivative · entry 1

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 8,650,534

F1 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons previously made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V. in connection with matchable sales on November 15, 2022, representing the full amount of the profit realized in connection with such short-swing transactions, less transaction costs. Because the sales reported herein occurred at a price lower than the price the reporting persons sold at on November 15, 2022, there are no additional recoverable profits subject to disgorgement in connection with these transactions.

F2 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $84.51 to $85.19, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F4 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F5 · ownership.direct: The securities reported are held directly by AICH and and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

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November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 18 $86.93 $1,564.73
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 8

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnerships

Disclosed balance after: 73,175

F5 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons have made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V., representing the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.

F6 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $86.80 to $87.33, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI Altep Investments LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC. Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F9 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F10 · ownership.direct: The securities reported are held directly as follows: (i) 3,461 ordinary shares by Altep 2010 and (ii) 69,714 ordinary shares by Altep 2014.

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November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 47 $86.31 $4,056.67
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 7

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnerships

Disclosed balance after: 73,193

F1 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $85.80 to $86.79, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI Altep Investments LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC. Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F9 · ownership.direct: Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by Altep 2010 and Altep 2014 because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. is the general partner of each of Altep 2010 and Altep 2014.

F10 · ownership.direct: The securities reported are held directly as follows: (i) 3,461 ordinary shares by Altep 2010 and (ii) 69,714 ordinary shares by Altep 2014.

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November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 7 $86.93 $608.51
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 6

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 763,075

F5 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons have made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V., representing the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.

F6 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $86.80 to $87.33, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F8 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 20 $86.31 $1,726.24
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 5

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 763,082

F1 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $85.80 to $86.79, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F8 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 27 $86.93 $2,347.10
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 4

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 41,198,810

F5 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons have made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V., representing the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.

F6 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $86.80 to $87.33, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7 · ownership.direct: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 71 $86.31 $6,128.17
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 3

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 41,198,837

F1 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $85.80 to $86.79, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F7 · ownership.direct: The securities reported are held directly by LYB Holdco LLC (formerly AI International Chemicals LLC) ("LYB Holdco") and may be deemed to be indirectly beneficially owned by AI Investments Holdings LLC ("AIIH"), Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because AIIH holds a majority of the outstanding voting interests in LYB Holdco, Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC, AIIH and LYB Holdco, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 34,608 $86.93 $3,008,459.60
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 2

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 8,662,588

F5 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons have made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V., representing the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.

F6 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $86.80 to $87.33, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI Altep Investments LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC. Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F4 · ownership.direct: The securities reported are held directly by AICH and and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 02:23 UTC LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 92,641 $86.31 $7,996,048.52
Disclosure

SEC source: 0001209191-22-057758 · doc4.xml · nonDerivative · entry 1

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 8,697,196

F1 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $85.80 to $86.79, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: Because of their relationships with the other reporting persons, each of Access Industries Holdings LLC, Access Industries, LLC and Access Industries Management, LLC may be deemed to beneficially own the ordinary shares held directly by Altep 2010 L.P. ("Altep 2010"), Altep 2014 L.P. ("Altep 2014"), AI Altep Investments LLC (formerly AI New Holdings LLC) and AI Chemical Holdings LLC (formerly, AI New Holdings 2 LLC) ("AICH"). Len Blavatnik may be deemed to indirectly beneficially own the ordinary shares held directly by AI Altep Investments LLC because he controls AI Altep Holdings, Inc. and AI Altep Holdings, Inc. holds all of the outstanding voting interests in AI Altep Investments LLC. Each of the reporting persons, and each of their affiliated entities and the officers, partners, members, and managers thereof, disclaims beneficial ownership of the ordinary shares held directly by each of Altep 2010, Altep 2014, AI Altep Investments LLC and AI Chemical Holdings LLC.

F4 · ownership.direct: The securities reported are held directly by AICH and and may be deemed to be indirectly beneficially owned by Access Industries Management, LLC, Access Industries Holdings LLC and Len Blavatnik because Mr. Blavatnik controls Access Industries Management, LLC, Access Industries Holdings LLC owns a majority of the outstanding voting interests in RSB 2 Limited which is the sole member of AICH, and Access Industries Management, LLC controls AICH and Access Industries Holdings LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 22:12 UTC Amendment LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 7 $86.93 $608.51
Disclosure

SEC source: 0001209191-22-057930 · doc4a.xml · nonDerivative · entry 2

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,075

F4 · kind: The reporting persons' sales of ordinary shares reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 4,000 shares, with the reporting persons' or their affiliate's purchase of 4,000 shares on November 1, 2022. The reporting persons have made arrangements with LyondellBasell Industries N.V. to voluntarily disgorge an aggregate of $37,197.89 to LyondellBasell Industries N.V., representing the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.

F5 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $86.80 to $87.33, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
November 15, 2022 Filed Nov 18, 2022 22:12 UTC Amendment LyondellBasell Industries N.V. LYB · Entity 3246 SaleOrdinary shares 20 $86.31 $1,726.24
Disclosure

SEC source: 0001209191-22-057930 · doc4a.xml · nonDerivative · entry 1

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,082

F1 · price: The price reported in Column 4 is a weighted average sales price of the ordinary shares. The ordinary shares were sold in multiple transactions ranging from $85.80 to $86.79, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F3 · ownership.direct: The securities reported are held directly by AIIH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

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November 01, 2022 Filed Nov 3, 2022 20:04 UTC LyondellBasell Industries N.V. LYB · Entity 3246 PurchaseOrdinary shares 4,000 $77.84 $311,344.00
Disclosure

SEC source: 0001209191-22-055489 · doc4.xml · nonDerivative · entry 2

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,102

F4 · price: The price reported in Column 4 is a weighted average purchase price of the ordinary shares. The ordinary shares were purchased in multiple transactions ranging from $77.675 to $77.870, inclusive. The reporting persons undertake to provide to LyondellBasell Industries N.V., any security holder of LyondellBasell Industries N.V., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ordinary shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

F5 · ownership.direct: The securities reported are held directly by AI Investments Holdings LLC ("AIIH") and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIIH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIIH, and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

Read SEC document
June 13, 2022 Filed Nov 3, 2022 20:04 UTC LyondellBasell Industries N.V. LYB · Entity 3246 GiftOrdinary shares 253,600 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-055489 · doc4.xml · nonDerivative · entry 1

AI INVESTMENTS HOLDINGS LLC · CIK 0001508237 · 10% owner

Access Industries Holdings LLC · CIK 0001391297 · 10% owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · 10% owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · 10% owner

Blavatnik Len · CIK 0001326628 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 3,269,099

F1 · price: These shares were donated by AIPH Holdings LLC ("AIPH") for no consideration as a charitable contribution.

F2 · ownership.direct: The securities reported are held directly by AIPH and may be deemed to be indirectly beneficially owned by Access Industries, LLC, Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik because Access Industries Holdings LLC controls a majority of the outstanding voting interests in AIPH, Access Industries, LLC controls a majority of the outstanding voting interests in Access Industries Holdings LLC, Access Industries Management, LLC controls Access Industries, LLC, Access Industries Holdings LLC and AIPH and Mr. Blavatnik controls Access Industries Management, LLC and a majority of the outstanding voting interests in Access Industries, LLC.

F3 · ownership.direct: Each of the reporting persons (other than the direct holder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 27, 2022 Filed Jan 31, 2022 16:06 UTC Warner Music Group Corp. WMG · Entity 2076 OtherClass B Common Stock · Derivative 1,087,137 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-005562 · doc4.xml · derivative · entry 1

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 487,929

Underlying: Class A Common Stock · 1,087,137 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2 · kind: Altep 2012 L.P. declared on January 27, 2022 a pro rata distribution for no consideration of an aggregate of 1,087,137 shares of Class B Common Stock, which were converted into an equal number of shares of Class A Common Stock automatically upon distribution.

F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · ownership.nature: The securities reported are held directly by Altep 2012 L.P. ("Altep 2012") and may be deemed to be beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2012 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2012) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 1,868,428 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · derivative · entry 9

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,868,428 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 2,337,392 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · derivative · entry 8

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,337,392 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 4,356,680 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · derivative · entry 7

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,701,589

Underlying: Class A Common Stock · 4,356,680 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · ownership.direct: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by AIPH Holdings LLC ("AIPH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 1,868,428 $40.66 $75,970,282.48
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 6

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 1,868,428 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 5

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 1,868,428

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 2,337,392 $40.66 $95,038,358.72
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 4

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F2 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 2,337,392 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 3

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 2,337,392

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 4,356,680 $40.66 $177,142,608.80
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 2

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by AIPH Holdings LLC ("AIPH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 17:04 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 4,356,680 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-002441 · doc4.xml · nonDerivative · entry 1

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,356,680

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.direct: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by AIPH Holdings LLC ("AIPH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 17,381 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · derivative · entry 13

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 1,575,066

Underlying: Class A Common Stock · 17,381 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F4 · ownership.nature: The securities reported are held directly by Altep 2012 L.P. ("Altep 2012") and may be deemed to be beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2012 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2012) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 1,110,170 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · derivative · entry 12

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 1,868,428

Underlying: Class A Common Stock · 1,110,170 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 479,800 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · derivative · entry 11

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 479,800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2 · ownership.nature: The securities reported are held directly by Access Industries, LLC ("AI") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the controlling entity of AI and Mr. Blavatnik is the controlling person of AIM and holder of a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AI) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 2,553,394 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · derivative · entry 10

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LB Remainder Holdings LLC

Disclosed balance after: 2,337,392

Underlying: Class A Common Stock · 2,553,394 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 GiftClass B Common Stock · Derivative 4,890,786 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · derivative · entry 9

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LB Remainder Holdings LLC

Disclosed balance after: 4,890,786

Underlying: Class A Common Stock · 4,890,786 shares

Expires not disclosed

F5 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F6 · kind: The securities were distributed to Remainder in its capacity as a beneficiary in connection with the termination of a grantor retained annuity trust.

F6 · price: The securities were distributed to Remainder in its capacity as a beneficiary in connection with the termination of a grantor retained annuity trust.

F5 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F5 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 17,381 $41.25 $716,966.25
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 8

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 0

F4 · ownership.nature: The securities reported are held directly by Altep 2012 L.P. ("Altep 2012") and may be deemed to be beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2012 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2012) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 17,381 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 7

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 17,381

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · ownership.nature: The securities reported are held directly by Altep 2012 L.P. ("Altep 2012") and may be deemed to be beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2012 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2012) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 1,110,170 $41.25 $45,794,512.50
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 6

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 1,110,170 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 5

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 1,110,170

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · ownership.nature: The securities reported are held directly by CT/FT Holdings LLC ("CT/FT") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the manager of CT/FT and Mr. Blavatnik is the controlling person of AIM. Each of the reporting persons (other than CT/FT) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 479,800 $41.25 $19,791,750.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 4

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F2 · ownership.nature: The securities reported are held directly by Access Industries, LLC ("AI") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the controlling entity of AI and Mr. Blavatnik is the controlling person of AIM and holder of a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AI) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 479,800 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 3

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 479,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.nature: The securities reported are held directly by Access Industries, LLC ("AI") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik, because AIM is the controlling entity of AI and Mr. Blavatnik is the controlling person of AIM and holder of a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AI) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 SaleClass A Common Stock 2,553,394 $41.25 $105,327,502.50
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 2

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LB Remainder Holdings LLC

Disclosed balance after: 0

F1 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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December 08, 2021 Filed Dec 10, 2021 19:01 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass A Common Stock 2,553,394 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069127 · doc4.xml · nonDerivative · entry 1

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

CT/FT HOLDINGS LLC · CIK 0001813894 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LB Remainder Holdings LLC

Disclosed balance after: 2,553,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The securities reported are held directly by LB Remainder Holdings LLC ("Remainder") and may be deemed to be beneficially owned by AIM and Mr. Blavatnik because AIM is the manager of Remainder and Mr. Blavatnik is the controlling person of AIM and is the sole member of Remainder. Each of the reporting persons (other than Remainder) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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September 24, 2021 Filed Sep 28, 2021 16:02 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 9,741 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-057909 · doc4.xml · derivative · entry 6

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 1,592,447

Underlying: Class A Common Stock · 9,741 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F2 · ownership.nature: The securities reported are held directly by Altep 2012 L.P. ("Altep 2012") and may be deemed to be beneficially owned by AI Altep Holdings, Inc. and Mr. Blavatnik because AI Altep Holdings, Inc. is the general partner of Altep 2012 and Mr. Blavatnik controls AI Altep Holdings, Inc. Each of the reporting persons (other than Altep 2012) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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September 24, 2021 Filed Sep 28, 2021 16:02 UTC Warner Music Group Corp. WMG · Entity 2076 ConversionClass B Common Stock · Derivative 2,330,259 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-057909 · doc4.xml · derivative · entry 5

AI Entertainment Holdings LLC · CIK 0001813621 · 10% owner

Altep 2012 L.P. · CIK 0001813892 · Affiliate of 10% Owner

AI Altep Holdings, Inc · CIK 0000877116 · Affiliate of 10% Owner

ACCESS INDUSTRIES, LLC · CIK 0001508227 · Affiliate of 10% Owner

AIPH Holdings LLC · CIK 0001564326 · Affiliate of 10% Owner

Access Industries Holdings LLC · CIK 0001391297 · Affiliate of 10% Owner

ACCESS INDUSTRIES MANAGEMENT, LLC · CIK 0001508226 · Affiliate of 10% Owner

Blavatnik Len · CIK 0001326628 · Director · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,058,269

Underlying: Class A Common Stock · 2,330,259 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

F1 · ownership.direct: The securities reported are held directly by AI Entertainment Holdings LLC ("AIEH") and may be deemed to be beneficially owned by AIPH Holdings LLC ("AIPH"), Access Industries Holdings LLC ("AIH"), Access Industries, LLC ("AI"), Access Industries Management, LLC ("AIM") and Mr. Blavatnik, because AIPH is the parent of AIEH, AIH controls a majority of the outstanding voting interests in AIPH, AI controls a majority of the outstanding voting interests in AIH, AIM controls AI and AIH and Mr. Blavatnik is the controlling person of AIM and controls a majority of the outstanding voting interests in AI. Each of the reporting persons (other than AIEH) disclaims beneficial ownership of these securities, except to the extent of its or his 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.