SEC Form 4 · accession 0001127602-16-068508
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 23, 2016
Accepted (ET)
Nov 28, 2016 · 5:36 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,F3 | Nov 23, 2016 | S | 4,440 | $114.39 | D | 4,391 | 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
- F1The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.37 to $114.39, inclusive. The reporting person undertakes to provide Ashland, any security holder of Ashland, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Includes 3,626 shares of unvested Restricted Stock.
- 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.