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ASHLAND INC. — Director's Dealing 2020
Jan 31, 2020
31616_dirs_2020-01-31_556987b8-229c-4e8b-a089-3d3a16801875.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ASHLAND GLOBAL HOLDINGS INC (ASH)
CIK: 0001674862
Period of Report: 2020-01-30
Reporting Person: BONI ERIC N (Principal Accounting Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7835 | Direct |
| Common Stock | 7005 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (207) | Direct | ||
| Restricted Stock Units | $ | Common Stock (980) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1064) | Direct | ||
| Restricted Stock Units | $ | Common Stock (305) | Direct | ||
| Restricted Stock Units | $ | Common Stock (502) | Direct | ||
| Stock Appreciation Right | $27.54 | 2020-12-17 | Common Stock (2448) | Direct | |
| Stock Appreciation Right | $29.50 | 2022-01-02 | Common Stock (5085) | Direct | |
| Stock Appreciation Right | $37.37 | 2022-12-14 | Common Stock (5838) | Direct | |
| Stock Appreciation Right | $47.63 | 2023-12-13 | Common Stock (2825) | Direct | |
| Stock Appreciation Right | $59.95 | 2024-12-12 | Common Stock (2730) | Direct | |
| Stock Appreciation Right | $59.41 | 2025-12-18 | Common Stock (3390) | Direct | |
| Stock Appreciation Right | $57.96 | 2026-12-16 | Common Stock (3672) | Direct | |
| Stock Appreciation Right | $67.16 | 2027-12-15 | Common Stock (3100) | Direct | |
| Stock Appreciation Right | $82.34 | 2028-11-15 | Common Stock (1950) | Direct | |
| Stock Appreciation Right | $77.90 | 2029-11-13 | Common Stock (2350) | Direct | |
| Common Stock Units | $ | Common Stock (1237) | Direct |
Footnotes
F1: Based on Employee Savings Plan information as of December 31, 2019, the latest date for which such information is reasonably available.
F2: 207 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant on November 15, 2017, of 600 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.
F3: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F4: 980 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant of 3800 Restricted Stock Units November 15, 2017, 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% the first year after date of grant, 25% the second year after date of grant, and 25% the third year after date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
F5: 1064 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant of 2088 Restricted Stock Units granted September 12, 2018, 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% the first year after the date of grant and 50% the second year after the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
F6: 305 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant of 450 Restricted Stock Units on November 15, 2018, 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.
F7: 502 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant of 500 Restricted Stock Units on November 13, 2019, 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.
F8: Stock Appreciation Right granted pursuant to Ashland's incentive plan which vests in three annual installments: 50% after the first year, the next 25% the second year and the remaining 25% the third year.
F9: Common Stock Units acquired pursuant to Ashland's Deferred Compensation Plan for Employees (the "Plan") and exempt under Rule 16b-3. (One (1) Common Stock Unit in the Plan is the equivalent of one (1) share of Ashland Common Stock.)
F10: Each Common Stock Unit represents a right to receive one (1) share of Ashland Common Stock.