SEC Form 4/A · accession 0001127602-18-033884
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
Keith C Silverman
Officer — Vice President
Period of report
Nov 15, 2018
Accepted (ET)
Nov 20, 2018 · 10:11 am 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 Stock | Nov 15, 2018 | M | 2,950 | $67.16 | A | 5,815 | D | |
| Common Stock | Nov 15, 2018 | F | 2,628 | $80.53 | D | 3,187 | D | |
| Common StockF3 | holding | — | — | — | 1,076 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF4 | $67.16 | Nov 15, 2018 | M | 2,950 | D | Nov 15, 2018 | Dec 15, 2027 | Common Stock | 2,950 | 2,950 | D |
Explanation of responses
- F1The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 6, 2018.
- F2Due to a clerical error, payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 4 below was not filed with the original Form 4 on 11/19/2018.
- F3Based on Employee Savings Plan information as of October 31, 2018, the latest date for which such information is reasonably available.
- F4Stock Appreciation Right granted pursuant to Ashland's incentive plan which vests in three annual installments: 50% after the first year, the next 25% the second year and the remaining 25% the third year.