SEC Form 4 · accession 0001127602-15-011620
ASHLAND INC. · ASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger W Hale
Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 3:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001305014
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock UnitsF1,F3 | $0.00 | Mar 13, 2015 | J | 29 | A | — | — | Common Stock | 29 | 10,323 | D |
| Restricted Stock UnitsF4,F6 | — | Mar 13, 2015 | J | 72 | A | — | — | Common Stock | 72 | 26,540 | D |
Explanation of responses
- F11-for-1
- F2Common Stock Units acquired pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors (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.)
- F3Subject 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 separation from service as a director.
- F4Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
- F5Restricted Stock Units acquired pursuant to Ashland's Deferred Compensation Plan (the "Plan") for Non-Employee Directors and exempt from Rule 16b-3. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.)
- F6Subject to any deferral election on timing of distribution by the reporting person under the Plan, the reporting person may, prior to vesting, elect to receive the Restricted Stock Units in Common Stock or cash upon separation from service as a director.