Statement of Changes in Beneficial Ownership (4)
January 06 2016 - 5:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
WILLIS J KEVIN
|
2. Issuer Name
and
Ticker or Trading Symbol
ASHLAND INC.
[
ASH
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
|
(Last)
(First)
(Middle)
50 E. RIVERCENTER BLVD.
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2016
|
(Street)
COVINGTON, KY 41011
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
1/4/2016
|
|
M
|
|
169
|
A
|
$102.70
(1)
|
13020
|
D
|
|
Common Stock
|
1/4/2016
|
|
F
(2)
|
|
53
|
D
|
$102.70
|
12967
(3)
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
15117
(4)
|
I
|
401(k)
|
Common Stock
|
|
|
|
|
|
|
|
887
(5)
|
I
|
LESOP
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Common Stock Units
|
(6)
|
1/4/2016
|
|
M
|
|
|
169
|
(7)
|
(7)
|
Common Stock
|
169
|
$0
|
14820
(8)
|
D
|
|
Explanation of Responses:
|
(
1)
|
Shares of common stock received in settlement of an equal number of common stock units as described in footnote (7) below.
|
(
2)
|
Payment of tax liability by withholding securities incident to the conversion of common stock units referenced in footnote (7) below.
|
(
3)
|
Includes 12,736 shares of unvested Restricted Stock and also includes 45 additional shares of Common Stock acquired in lieu of cash dividends on December 15, 2015 and exempt under Rule 16b-3.
|
(
4)
|
Based on Employee Savings Plan information as of December 31, 2015, the latest date for which such information is reasonably available.
|
(
5)
|
Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of December 31, 2015.
|
(
6)
|
1 for 1.
|
(
7)
|
The common stock units were converted into shares of common stock pursuant to an election for fixed schedule distributions established by the reporting person under the Ashland Inc. Deferred Compensation Plan for Employees (2005) (the "Employee Deferral Plan"). Fixed schedule distributions under the Employee Deferral Plan must be made not less than two years measured from the beginning of the plan year after the plan year in which the election is made. Each common stock unit under the Employee Deferral Plan entitles a participant to receive one share of Ashland common stock or the cash value thereof.
|
(
8)
|
Balance includes 56 additional Common Stock Units acquired in lieu of cash dividends on December 15, 2015 pursuant to Ashland's Deferred Compensation Plan (the "Plan") and exempt under Rule 16b-3. One (1) Common Stock Unit in the Plan is the equivalent of one (1) share of Ashland Common Stock).
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
WILLIS J KEVIN
50 E. RIVERCENTER BLVD.
COVINGTON, KY 41011
|
|
|
Chief Financial Officer
|
|
Signatures
|
/s/ Jennifer I. Henkel, Attorney-in-Fact
|
|
1/6/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Ashland (NYSE:ASH)
Historical Stock Chart
From Mar 2024 to Apr 2024
Ashland (NYSE:ASH)
Historical Stock Chart
From Apr 2023 to Apr 2024