ASHLAND INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 35 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-29: Reporting owner Harris Theodore L; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-29: Reporting owner Harris Theodore L; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-12: Reporting owner Harris Theodore L; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-12: Reporting owner FERNANDEZ-MORENO LUIS M; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-29 | Harris Theodore L Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,300 0 owned after | $65.78 exercise price | 2014-12-31 | |
| 2014-12-29 | Harris Theodore L Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,300 0 owned after | $51.86 exercise price | 2014-12-31 | |
| 2014-11-12 | 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) | +5,700 5,700 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | 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) | +6,550 6,550 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | ESLER SUSAN B Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,400 4,400 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | Ganz Peter Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | HEITMAN WILLIAM J Officer (Controller) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,900 2,900 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | 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) | +5,900 5,900 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | Silverman Keith C Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,450 1,450 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | 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) | +13,100 13,100 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,300 3,300 owned after | $112.91 | 2014-11-14 | |
| 2014-11-12 | Solomon Walter H Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,200 3,200 owned after | $112.91 | 2014-11-14 | |
| 2014-09-11 | Solomon Walter H Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,900 0 owned after | $37.69 exercise price | 2014-09-12 | |
| 2014-09-11 | Solomon Walter H Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $51.86 exercise price | 2014-09-12 | |
| 2014-06-27 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,125 1,375 owned after | $55.56 exercise price | 2014-07-01 | |
| 2014-06-05 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 2,500 owned after | $55.56 exercise price | 2014-06-06 | |
| 2014-05-07 | Solomon Walter H 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 | 2014-05-08 | |
| 2014-05-07 | Solomon Walter H Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 0 owned after | $53.33 exercise price | 2014-05-08 | |
| 2014-05-07 | 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 | −15,000 0 owned after | $10.72 exercise price | 2014-05-08 | |
| 2014-05-07 | 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 | −14,200 0 owned after | $37.69 exercise price | 2014-05-08 | |
| 2014-05-07 | HEITMAN WILLIAM J Officer (Controller) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,400 0 owned after | $10.72 exercise price | 2014-05-08 | |
| 2014-05-07 | HEITMAN WILLIAM J Officer (Controller) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 0 owned after | $37.69 exercise price | 2014-05-08 | |
| 2014-05-06 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $51.86 exercise price | 2014-05-08 | |
| 2014-05-05 | 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 | −2,500 0 owned after | $51.86 exercise price | 2014-05-07 | |
| 2014-05-05 | 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 | −3,675 1,225 owned after | $55.56 exercise price | 2014-05-07 | |
| 2014-05-05 | 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 2,900 owned after | $70.37 exercise price | 2014-05-07 | |
| 2014-05-02 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,450 0 owned after | $37.69 exercise price | 2014-05-06 | |
| 2014-05-02 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 3,000 owned after | $51.86 exercise price | 2014-05-06 | |
| 2014-05-02 | Schumann Anne T. Officer (Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $51.86 exercise price | 2014-05-06 | |
| 2014-03-26 | Harris Theodore L Officer (Senior 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 | $53.33 exercise price | 2014-03-28 | |
| 2014-03-21 | Harris Theodore L Officer (Senior Vice President) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,112 0 owned after | $49.79 exercise price | 2014-03-25 | |
| 2014-03-18 | Harris Theodore L 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 | 2014-03-20 | |
| 2014-02-24 holding as of filing | Silverman Keith C Officer (Vice President) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $70.37 exercise price | 2014-02-24 | ||
| 2014-02-24 holding as of filing | Silverman Keith C Officer (Vice President) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $89.69 exercise price | 2014-02-24 | ||
| 2014-01-06 | 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 | −5,500 0 owned after | $53.33 exercise price | 2014-01-07 |