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ASHLAND INC. — Director's Dealing 2018
Nov 20, 2018
31616_dirs_2018-11-19_25eb2e81-da58-4172-b310-317787d5f1d1.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: 2018-11-15
Reporting Person: Silverman Keith C (Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-11-15 | Common Stock | M | 370 | $82.34 | Acquired | 1728 | Direct |
| 2018-11-15 | Common Stock | F | 127 | $82.34 | Disposed | 1601 | Direct |
| 2018-11-15 | Common Stock | M | 1923 | $82.34 | Acquired | 3524 | Direct |
| 2018-11-15 | Common Stock | F | 659 | $82.34 | Disposed | 2865 | Direct |
| 2018-11-15 | Common Stock | M | 2950 | $67.16 | Acquired | 5815 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-11-15 | Restricted Stock Units | $ | M | 370 | Disposed | Common Stock (370) | Direct | |
| 2018-11-15 | Restricted Stock Units | $ | M | 1923 | Disposed | Common Stock (1923) | Direct | |
| 2018-11-15 | Stock Appreciation Right | $67.16 | M | 2950 | Disposed | 2027-12-15 | Common Stock (2950) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1076 | Indirect |
Footnotes
F1: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 5 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 Stock Units referenced in footnote 7 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F3: Based on Employee Savings Plan information as of October 31, 2018, the latest date for which such information is reasonably available.
F4: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F5: 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.
F6: Balance also includes shares of restricted stock units acquired in lieu of cash dividends, 16 shares acquired on December 15, 2017; 17 shares acquired on March 15, 2018; 17 shares acquired on June 15, 2018 and 17 shares acquired on September 15, 2018.
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 50% beginning one year from the date of grant, 25% the second year and the remaining 25% the third year, provided that the Reporting Person remains in continuous employment with the Issuer.