SEC Form 4 · accession 0001127602-17-020784
ASHLAND INC. · ASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Anne T. Schumann
Officer — Vice President
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 3:44 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1 | $57.96 | Jun 5, 2017 | A | 4,107 | A | Nov 16, 2017 | Dec 16, 2026 | Common Stock | 4,107 | 8,757 | D |
| Stock Appreciation RightF2 | $59.41 | Jun 5, 2017 | A | 3,798 | A | Nov 18, 2016 | Dec 18, 2025 | Common Stock | 3,798 | 8,098 | D |
| Stock Appreciation RightF3 | $59.95 | Jun 5, 2017 | A | 2,915 | A | Nov 12, 2015 | Dec 12, 2024 | Common Stock | 2,915 | 6,215 | D |
Explanation of responses
- F1Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of stock appreciation rights equal to the Equity Award Adjustment Ratio for each such stock appreciation right, and the original strike price of $109.15 was converted to $57.96.
- F2Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of stock appreciation rights equal to the Equity Award Adjustment Ratio for each such stock appreciation right, and the original strike price of $111.89 was converted to $59.41.
- F3Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of stock appreciation rights equal to the Equity Award Adjustment Ratio for each such stock appreciation right, and the original strike price of $112.91 was converted to $59.95.