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ASHLAND INC. — Director's Dealing 2016
Nov 22, 2016
31616_dirs_2016-11-22_6a4a788c-105d-4c0a-b630-4ce29e884f43.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ASHLAND GLOBAL HOLDINGS INC (ASH)
CIK: 0001674862
Period of Report: 2016-11-18
Reporting Person: WILLIS J KEVIN (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-18 | Common Stock | M | 1028 | — | Acquired | 16789 | Direct |
| 2016-11-18 | Common Stock | F | 494 | $111.12 | Disposed | 16295 | Direct |
| 2016-11-18 | Common Stock | S | 3372 | $109.26 | Disposed | 12923 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-18 | Restricted Stock Units | $ | M | 1028 | Disposed | Common Stock (1028) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15656 | Indirect |
| Common Stock | 887 | Indirect |
Footnotes
F1: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F2: Includes 3,626 shares of unvested Restricted Stock.
F3: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F4: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2015.
F5: Based on Employee Savings Plan information as of October 31, 2016, the latest date for which such information is reasonably available.
F6: Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of October 31, 2016.
F7: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.