SEC Form 4/A · accession 0001127602-17-001379
ASHLAND INC. · ASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Anne T. Schumann
Officer — Vice President
Period of report
Nov 16, 2016
Accepted (ET)
Jan 9, 2017 · 4:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001674862
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 | — | Nov 16, 2016 | J | 640 | A | — | — | Common Stock | 640 | 640 | D |
| Common Stock UnitsF1,F3 | — | Nov 16, 2016 | F | 22 | D | — | — | Common Stock | 22 | 618 | D |
Explanation of responses
- F11 for 1.
- F2Reflects the deferral of a portion of securities acquired in relation to the settlement of LTIP award as referenced in footnote 3 to the original Form 4 filed on November 18, 2016, pursuant to Ashland's deferred compensation plan.
- 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 in-service distribution election, retirement or other termination.
- F4Payment of tax liability by withholding of securities incident to the deferral of LTIP award referenced in footnote 2 above.