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ASHLAND INC. — Director's Dealing 2018
Nov 21, 2018
31616_dirs_2018-11-20_16633d95-5014-433e-b2a3-29a7d0c44251.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: 2018-11-16
Reporting Person: Schumann Anne T. (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-11-16 | Common Stock | M | 483 | $82.30 | Acquired | 14157 | Direct |
| 2018-11-16 | Common Stock | F | 133 | $82.30 | Disposed | 14024 | Direct |
| 2018-11-19 | Common Stock | F | 2244 | $80.32 | Disposed | 11780 | Direct |
| 2018-11-19 | Common Stock | M | 570 | $80.32 | Acquired | 12350 | Direct |
| 2018-11-19 | Common Stock | F | 204 | $80.32 | Disposed | 12146 | Direct |
| 2018-11-19 | Common Stock | M | 1036 | $80.32 | Acquired | 13182 | Direct |
| 2018-11-19 | Common Stock | F | 441 | $80.32 | Disposed | 12741 | Direct |
| 2018-11-19 | Common Stock | M | 1003 | $80.32 | Acquired | 13744 | Direct |
| 2018-11-19 | Common Stock | F | 427 | $80.32 | Disposed | 13317 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-11-16 | Restricted Stock Units | $ | M | 483 | Disposed | Common Stock (483) | Direct | |
| 2018-11-19 | Restricted Stock Units | $ | M | 570 | Disposed | Common Stock (570) | Direct | |
| 2018-11-19 | Restricted Stock Units | $ | M | 1036 | Disposed | Common Stock (1036) | Direct | |
| 2018-11-19 | Restricted Stock Units | $ | M | 1003 | Disposed | Common Stock (1003) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1332 | Indirect |
Footnotes
F1: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 8 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F2: 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.
F3: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 9 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F4: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 10 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F5: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 11 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F6: Based on Employee Savings Plan information as of October 31, 2018, the latest date for which such information is reasonably available.
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: 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.
F10: One third of the Reporting Persons 2016-2018 performance units converted to time-based stock-settled Restricted Stock Units at target and vests three years from the original grant date of 11/18/2015.
F11: Two thirds of the Reporting Persons 2016-2018 performance units converted to time-based stock-settled Restricted Stock Units based on performance of the 2016-2018 LTIP Plan and vests three years from the original grant date of 11/18/2015.