ASHLAND INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-26: Reporting owner Ganz Peter; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-26: Reporting owner Ganz Peter; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-26: Reporting owner PANICHELLA JOHN E; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-24: Reporting owner WILLIS J KEVIN; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-26 | Ganz Peter Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,600 6,600 owned after | $55.56 exercise price | 2013-12-30 | |
| 2013-12-26 | Ganz Peter Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,300 3,300 owned after | $55.56 exercise price | 2013-12-30 | |
| 2013-12-26 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,400 8,400 owned after | $70.37 exercise price | 2013-12-30 | |
| 2013-12-24 | WILLIS J KEVIN Officer (Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,900 0 owned after | $65.78 exercise price | 2013-12-27 | |
| 2013-12-24 | WILLIS J KEVIN Officer (Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,600 0 owned after | $37.69 exercise price | 2013-12-27 | |
| 2013-12-24 | OBRIEN JAMES J /KY Officer (Chief Executive Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 0 owned after | $53.33 exercise price | 2013-12-27 | |
| 2013-12-24 | OBRIEN JAMES J /KY Officer (Chief Executive Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −110,000 0 owned after | $65.78 exercise price | 2013-12-27 | |
| 2013-12-02 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,775 2,775 owned after | $55.56 exercise price | 2013-12-04 | |
| 2013-11-18 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,325 0 owned after | $51.86 exercise price | 2013-11-20 | |
| 2013-11-15 holding as of filing | Harris Theodore L Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | Holding | 11,100 owned after | $55.56 exercise price | 2013-11-15 | |
| 2013-11-15 holding as of filing | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | Holding | 5,550 owned after | $55.56 exercise price | 2013-11-15 | |
| 2013-11-13 | POST STEVEN E. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | Solomon Walter H Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,300 3,300 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | Harris Theodore L Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,300 6,300 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | ESLER SUSAN B Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,500 4,500 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,300 7,300 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | WILLIS J KEVIN Officer (Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,500 13,500 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | MITCHELL SAMUEL J Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,200 6,200 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | Ganz Peter Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,400 7,400 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | HEITMAN WILLIAM J Officer (Controller) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,800 2,800 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | OBRIEN JAMES J /KY Officer (Chief Executive Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,100 50,100 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,400 3,400 owned after | $89.69 | 2013-11-15 | |
| 2013-11-13 | FERNANDEZ-MORENO LUIS M Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $89.69 | 2013-11-15 | |
| 2013-08-13 | ESLER SUSAN B Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,200 0 owned after | $65.78 exercise price | 2013-08-15 | |
| 2013-08-13 | ESLER SUSAN B Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,100 0 owned after | $37.69 exercise price | 2013-08-15 | |
| 2013-08-13 | OBRIEN JAMES J /KY Officer (Chief Executive Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $10.72 exercise price | 2013-08-15 | |
| 2013-08-13 | OBRIEN JAMES J /KY Officer (Chief Executive Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −103,400 0 owned after | $37.69 exercise price | 2013-08-15 | |
| 2013-07-10 | MITCHELL SAMUEL J Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,500 0 owned after | $53.33 exercise price | 2013-07-11 | |
| 2013-07-10 | MITCHELL SAMUEL J Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,624 0 owned after | $49.79 exercise price | 2013-07-11 | |
| 2013-05-03 | WILLIS J KEVIN Officer (Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,623 2,623 owned after | $87.86 exercise price | 2013-05-06 | |
| 2013-05-03 holding as of filing | WILLIS J KEVIN Officer (Chief Financial Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $65.78 exercise price | 2013-05-03 | ||
| 2013-05-03 holding as of filing | WILLIS J KEVIN Officer (Chief Financial Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $37.69 exercise price | 2013-05-03 | ||
| 2013-05-03 holding as of filing | WILLIS J KEVIN Officer (Chief Financial Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $51.86 exercise price | 2013-05-03 | ||
| 2013-05-03 holding as of filing | WILLIS J KEVIN Officer (Chief Financial Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $55.56 exercise price | 2013-05-03 | ||
| 2013-05-03 holding as of filing | WILLIS J KEVIN Officer (Chief Financial Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $70.37 exercise price | 2013-05-03 | ||
| 2013-05-02 | HEITMAN WILLIAM J Officer (Controller) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 8,400 owned after | $10.72 exercise price | 2013-05-06 | |
| 2013-04-15 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,975 2,325 owned after | $51.86 exercise price | 2013-04-16 | |
| 2013-04-15 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,550 5,450 owned after | $55.56 exercise price | 2013-04-16 | |
| 2013-03-11 | PANICHELLA JOHN E Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,200 0 owned after | $37.69 exercise price | 2013-03-13 |