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ASHLAND INC. — Director's Dealing 2021
Mar 31, 2021
31616_dirs_2021-03-31_16c7006f-7fc6-4312-be9c-e13777a880cf.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: 2021-03-29
Reporting Person: Winkler von Mohrenfels Petra Yvonne (Sr. VP, GC and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-29 | Common Stock | M | 1035 | $59.95 | Acquired | 4241.154 | Direct |
| 2021-03-29 | Common Stock | D | 688 | $90.23 | Disposed | 3553.154 | Direct |
| 2021-03-29 | Common Stock | F | 127 | $90.23 | Disposed | 3426.154 | Direct |
| 2021-03-29 | Common Stock | M | 425 | $59.41 | Acquired | 3851.154 | Direct |
| 2021-03-29 | Common Stock | D | 280 | $90.23 | Disposed | 3571.154 | Direct |
| 2021-03-29 | Common Stock | F | 54 | $90.23 | Disposed | 3517.154 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-29 | Stock Appreciation Right | $59.95 | M | 1035 | Disposed | 2024-12-12 | Common Stock (1035) | Direct |
| 2021-03-29 | Stock Appreciation Right | $59.41 | M | 425 | Disposed | 2025-12-18 | Common Stock (425) | Direct |
Footnotes
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2: This represents the difference between the number of stock appreciation rights (SARs) exercised (1,035) and the number of shares issued as a result of the exercise (347). Each SAR represents the right, upon exercise, to receive a number of shares of Common Stock equal in value to the amount, if any, by which the fair market value of Common Stock (as determined on the date of the exercise) exceeds the exercise price.
F3: This represents the withholding of shares of Common Stock to satisfy tax withholding liability associated with the exercise of the SARs that was reported in this Form 4.
F4: This represents the difference between the number of stock appreciation rights (SARs) exercised (425) and the number of shares issued as a result of the exercise (145). Each SAR represents the right, upon exercise, to receive a number of shares of Common Stock equal in value to the amount, if any, by which the fair market value of Common Stock (as determined on the date of the exercise) exceeds the exercise price.
F5: This represents the withholding of shares of Common Stock to satisfy tax withholding liability associated with the exercise of the SARs that was reported in this Form 4.