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ASHLAND INC. — Director's Dealing 2017
Oct 31, 2017
31616_dirs_2017-10-31_d7072713-d7ab-4712-891f-53c784e7a146.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: ASHLAND GLOBAL HOLDINGS INC (ASH)
CIK: 0001674862
Period of Report: 2017-09-30
Reporting Person: WILLIS J KEVIN (Chief Financial Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20686 | Direct |
| Common Stock | 16878 | Indirect |
| Common Stock | 444 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock Units | $ | Common Stock (28219) | 28219 | Direct | |
| Restricted Stock Units | $ | Common Stock (28806) | 28806 | Direct |
Footnotes
F1: Balance includes 19,803 unvested shares of Restricted Stock. Balance also includes 136 additional shares acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's incentive plans and applicable restricted stock agreements (65 shares acquired on June 15, 2017, and 71 shares on September 15, 2017).
F2: Based on Employee Savings Plan information as of September 30, 2017, the latest date for which such information is reasonably available.
F3: Shares accrued under third party trust as of September 30, 2017.
F4: 1 for 1.
F5: Subject to any deferral election on timing of distribution by the reporting person under the Plan, the Common Stock Units are payable in Common Stock upon the reporting person's in-service distribution election, retirement or other termination.
F6: Balance includes 150 additional Common Stock Units acquired in lieu of cash dividends (51 on June 15, 2017 and 99 on September 15, 2017).
F7: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F8: 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.
F9: Balance includes 33 additional Restricted Stock Units granted in lieu of cash dividends on September 15, 2017. The total includes prior awards that have different vesting and expiration dates.