SEC Form 4 · accession 0001127602-16-067468
ASHLAND INC. · ASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Kevin Willis
Officer — Chief Financial Officer
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001674862
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 14, 2016 | F | 779 | $108.22 | D | 10,528 | D | |
| Common StockF2 | Nov 15, 2016 | S | 1,555 | $106.84 | D | 8,973 | D | |
| Common StockF4 | holding | — | — | — | 15,656 | I | 401(k) | |
| Common StockF5 | holding | — | — | — | 887 | I | LESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Payment of tax liability by withholding incident to the receipt of the vesting of shares of Restricted Common Stock acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
- F2Includes 8,742 shares of unvested Restricted Stock.
- F3The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2015.
- F4Based on Employee Savings Plan information as of October 31, 2016, the latest date for which such information is reasonably available.
- F5Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of October 31, 2016.