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ASHLAND INC. — Director's Dealing 2017
Nov 15, 2017
31616_dirs_2017-11-15_50d685a4-8fe5-4400-a701-f37b13f7154c.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: 2017-11-13
Reporting Person: WILLIS J KEVIN (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-13 | Common Stock | M | 12232 | $67.10 | Acquired | 32918 | Direct |
| 2017-11-14 | Common Stock | F | 4080 | $67.10 | Disposed | 28838 | Direct |
| 2017-11-14 | Common Stock | F | 678 | $67.10 | Disposed | 28160 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-13 | Restricted Stock Units | $ | M | 12232 | Disposed | Common Stock (12232) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16878 | Indirect |
| Common Stock | 444 | Indirect |
Footnotes
F1: Balance includes 17,773 unvested shares of Restricted Stock.
F2: Payment of tax liability by withholding of securities incident to the settlement of LTIP RSUs referenced in footnote 7 below.
F3: Payment of tax liability by withholding securities incident to the vesting of Restricted Common Stock acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F4: Based on Employee Savings Plan information as of September 30, 2017, the latest date for which such information is reasonably available.
F5: In connection with the separation of Ashland and Valvoline, half of the Reporting Person's LESOP account was merged into the Ashland stock fund of the Reporting Person's 401(k) while the other half was transferred to Valvoline where the Ashland shares will gradually be sold for Valvoline shares.
F6: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F7: Grant of Restricted Stock Units provided after measurement of the performance of the 2015-2017 LTIP award, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant vest November 13, 2017, provided that the Reporting Person remains in continuous employment with the Issuer.