ASH

SEC source: 0001127602-17-020779 · form4.xml · derivative · entry 7

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,730

Underlying: Common Stock · 1,280 shares

Expires 2024-12-12

F11 · derivative.exercise_price: Pursuant 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.

F11 · price: Pursuant 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.

SEC source: 0001127602-17-020779 · form4.xml · derivative · entry 6

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,390

Underlying: Common Stock · 1,590 shares

Expires 2025-12-18

F10 · derivative.exercise_price: Pursuant 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.

F10 · price: Pursuant 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.

SEC source: 0001127602-17-020779 · form4.xml · derivative · entry 5

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672

Underlying: Common Stock · 1,722 shares

Expires 2026-12-16

F9 · derivative.exercise_price: Pursuant 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.

F9 · price: Pursuant 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.

SEC source: 0001127602-17-020779 · form4.xml · derivative · entry 4

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,825

Underlying: Common Stock · 1,325 shares

Expires 2023-12-13

F8 · derivative.exercise_price: Pursuant 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 $89.69 was converted to $47.63.

F8 · price: Pursuant 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 $89.69 was converted to $47.63.

SEC source: 0001127602-17-020779 · form4.xml · derivative · entry 3

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,461

Underlying: Common Stock · 919 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · shares: Represents the sum of 479 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (5) and 440 restricted stock units granted pursuant to the plan described in clause (b) of this footnote (5). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 440 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F5 · price: Represents the sum of 479 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (5) and 440 restricted stock units granted pursuant to the plan described in clause (b) of this footnote (5). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 440 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F6 · derivative.exercise_date: The restricted stock units described in clause (a) of footnote (5) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (5) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F6 · derivative.expiration_date: The restricted stock units described in clause (a) of footnote (5) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (5) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F7 · balance_after: Balance includes 3 additional restricted stock units acquired in lieu of cash dividends, 2 of which were paid on December 15, 2016, and 1 of which was paid on March 15, 2017.

SEC source: 0001127602-17-020779 · form4.xml · nonDerivative · entry 1

Silverman Keith C · CIK 0001600587 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,902

F1 · price: Represents the sum of 105 shares of restricted stock granted pursuant to the adjustment described in this footnote (1). Ashland Global Holdings Inc. ("Ashland") distributed to its stockholders on May 12, 2017 (the "Distribution Date") 170,000,000 shares of Valvoline Inc. common stock as a pro rata dividend (the "Distribution"). Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of shares of restricted stock equal to the quotient of (x) the closing price of Ashland common stock on the Distribution Date and (y) the simple arithmetic average of the volume-weighted average price of Ashland common stock for each of the ten consecutive trading days immediately following the Distribution Date (such quotient, the "Equity Award Adjustment Ratio") for each such share of restricted stock.

F2 · balance_after: Includes 224 shares of unvested restricted stock.

SEC source: 0001127602-17-026353 · form4a.xml · nonDerivative · entry 1

WULFSOHN WILLIAM A · CIK 0001326402 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,048

F1 · shares: Due to a clerical error, the Reporting Person received 122 more shares of Restricted Common Stock under the Executive Performance Incentive and Retention Program than was reported at the time of the original filing.

SEC source: 0001127602-17-026351 · form4a.xml · nonDerivative · entry 1

WILLIS J KEVIN · CIK 0001575329 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,550

F1 · shares: Due to a clerical error, the Reporting Person received 51 more shares of Restricted Common Stock under the Executive Performance Incentive and Retention Program than was reported at the time of the original filing.

SEC source: 0001127602-17-026349 · form4a.xml · nonDerivative · entry 1

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,091

F1 · shares: Due to a clerical error, the Reporting Person received 31 more shares of Restricted Common Stock under the Executive Performance Incentive and Retention Program than was reported at the time of the original filing.

SEC source: 0001127602-17-026347 · form4a.xml · nonDerivative · entry 1

Ganz Peter · CIK 0001337976 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,658

F1 · shares: Due to a clerical error, the Reporting Person received 44 more shares of Restricted Common Stock under the Executive Performance Incentive and Retention Program than was reported at the time of the original filing.

SEC source: 0001127602-17-020725 · form4.xml · derivative · entry 3

WARD MICHAEL J · CIK 0001165185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,411

Underlying: Common Stock · 25,991 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F9 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F8 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F8 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F10 · balance_after: Balance includes 93 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 9.

SEC source: 0001127602-17-020725 · form4.xml · derivative · entry 2

WARD MICHAEL J · CIK 0001165185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,834

Underlying: Common Stock · 34,163 shares

Expires not disclosed

F3 · derivative.exercise_price: 1-for-1

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Common Stock Units equal to the Equity Award Adjustment Ratio for each such Common Stock Unit. Common Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Common Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Common Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Common Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Common Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Common Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 122 additional Common Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020739 · form4.xml · derivative · entry 5

WILLIS J KEVIN · CIK 0001575329 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,832

Underlying: Common Stock · 8,036 shares

Expires not disclosed

F8 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of common stock.

F9 · shares: Represents the sum of 4,237 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (9) and 3,799 restricted stock units granted pursuant to the plan described in clause (b) this footnote (9). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 3,799 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F9 · price: Represents the sum of 4,237 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (9) and 3,799 restricted stock units granted pursuant to the plan described in clause (b) this footnote (9). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 3,799 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F10 · derivative.exercise_date: The restricted stock units described in clause (a) of footnote (9) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (9) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F10 · derivative.expiration_date: The restricted stock units described in clause (a) of footnote (9) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (9) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F11 · balance_after: Balance includes 31 additional restricted stock units acquired in lieu of cash dividends, 16 which were paid on December 15, 2016, and 15 which were paid on March 15, 2017.

SEC source: 0001127602-17-020739 · form4.xml · derivative · entry 4

WILLIS J KEVIN · CIK 0001575329 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,069

Underlying: Common Stock · 13,166 shares

Expires not disclosed

F4 · derivative.exercise_price: 1 for 1.

F6 · price: Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of common stock units equal to the Equity Award Adjustment Ratio for each such common stock unit. Common stock units were acquired pursuant to Ashland's Deferred Compensation Plan for Employees. One (1) common stock unit is the equivalent of one (1) share of common stock.

F5 · derivative.exercise_date: The common stock units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of common stock units immediately prior to the Distribution.

F5 · derivative.expiration_date: The common stock units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of common stock units immediately prior to the Distribution.

F7 · balance_after: Balance includes 99 additional common stock units acquired in lieu of cash dividends, 52 which were paid on December 15, 2016, and 47 which were paid on March 15, 2017.

SEC source: 0001127602-17-020736 · form4.xml · derivative · entry 4

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,554

Underlying: Common Stock · 2,217 shares

Expires not disclosed

F8 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F9 · shares: Represents the sum of 1,181 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (9) and 1,036 restricted stock units granted pursuant to the plan described in clause (b) this footnote (9). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 1,036 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F9 · price: Represents the sum of 1,181 restricted stock units granted pursuant to the adjustment described in clause (a) of this footnote (9) and 1,036 restricted stock units granted pursuant to the plan described in clause (b) this footnote (9). (a) Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the Equity Award Adjustment Ratio for each such restricted stock unit. (b) Pursuant to the terms of the FY 2016- 2018 Long Term Incentive Plan (the "LTIP Plan"), upon the Distribution, one-third of the Reporting Person's performance units under the LTIP Plan became convertible into 1,036 time-based, stock-settled restricted stock units immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the LTIP Plan, each such time-based, stock settled restricted stock unit was further adjusted into the number of time-based, stock settled restricted stock units equal to the Equity Award Adjustment Ratio.

F10 · derivative.exercise_date: The restricted stock units described in clause (a) of footnote (9) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (9) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F10 · derivative.expiration_date: The restricted stock units described in clause (a) of footnote (9) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution. The restricted stock units described in clause (b) of footnote (9) vest upon the third anniversary of the grant date (i.e. November 18, 2018) so long as the Reporting Person remains employed through such vesting date.

F11 · balance_after: Balance includes 8 additional restricted stock units acquired in lieu of cash dividends, 5 of which were paid on December 15, 2016, and 3 of which were paid on March 15, 2017.

SEC source: 0001127602-17-020736 · form4.xml · derivative · entry 3

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,167

Underlying: Common Stock · 548 shares

Expires not disclosed

F4 · derivative.exercise_price: 1 for 1.

F6 · price: Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of common stock units equal to the Equity Award Adjustment Ratio for each such common stock unit. Common stock units were acquired pursuant to Ashland's Deferred Compensation Plan for Employees. One (1) common stock unit is the equivalent of one (1) share of common stock.

F5 · derivative.exercise_date: The common stock units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of common stock units immediately prior to the Distribution.

F5 · derivative.expiration_date: The common stock units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of common stock units immediately prior to the Distribution.

F7 · balance_after: Balance includes 1 additional common stock unit acquired in lieu of cash dividends on March 15, 2017.

SEC source: 0001127602-17-020734 · form4.xml · derivative · entry 1

CUMMINS BRENDAN · CIK 0001550092 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,682

Underlying: Common Stock · 6,887 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F2 · shares: Represents the sum of 6,887 restricted stock units granted pursuant to the adjustment described in this footnote. Ashland Global Holdings Inc. ("Ashland") distributed to its stockholders on May 12, 2017 (the "Distribution Date") 170,000,000 shares of Valvoline Inc. ("Valvoline") common stock as a pro rata dividend (the "Distribution"). Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of restricted stock units equal to the quotient of (x) the closing price of Ashland common stock on the Distribution Date and (y) the simple arithmetic average of the volume-weighted average price of Ashland common stock for each of the ten consecutive trading days immediately following the Distribution Date (such quotient, the "Equity Award Adjustment Ratio") for each such restricted stock unit. Balance also includes 24 additional restricted stock units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described in this footnote 2.

F3 · price: The restricted stock units described in footnote (2) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution.

F3 · derivative.exercise_date: The restricted stock units described in footnote (2) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution.

F3 · derivative.expiration_date: The restricted stock units described in footnote (2) vest upon the same terms and conditions as were applicable to the Reporting Person's awards of restricted stock units immediately prior to the Distribution.

F4 · balance_after: The balance includes 24 additional restricted stock units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described in footnote 2.

SEC source: 0001127602-17-020723 · form4.xml · derivative · entry 3

TEAL JANICE · CIK 0001258631 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,367

Underlying: Common Stock · 5,332 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F9 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F8 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F8 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F10 · balance_after: Balance includes 19 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 9.

SEC source: 0001127602-17-020723 · form4.xml · derivative · entry 2

TEAL JANICE · CIK 0001258631 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,651

Underlying: Common Stock · 2,651 shares

Expires not disclosed

F3 · derivative.exercise_price: 1-for-1.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Common Stock Units equal to the Equity Award Adjustment Ratio for each such Common Stock Unit. Common Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Common Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Common Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Common Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Common Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Common Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 20 additional Common Stock Units acquired in lieu of cash dividends, 11 of which were paid on December 15, 2016 and 9 were paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020721 · form4.xml · derivative · entry 2

SCHAEFER GEORGE A JR · CIK 0001195811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,410

Underlying: Common Stock · 25,990 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 93 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020720 · form4.xml · derivative · entry 2

ROHR MARK C · CIK 0001235356 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,262

Underlying: Common Stock · 24,045 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 85 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020719 · form4.xml · derivative · entry 2

PERRY BARRY W · CIK 0001194502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,410

Underlying: Common Stock · 25,990 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 93 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020718 · form4.xml · derivative · entry 2

IHLENFELD JAY V · CIK 0001205395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,787

Underlying: Common Stock · 839 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 2 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-020717 · form4.xml · derivative · entry 2

DEMPSEY WILLIAM G · CIK 0001239422 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,643

Underlying: Common Stock · 1,240 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock.

F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution.

F6 · balance_after: Balance includes 4 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5.

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 11

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,273

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 10

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,431

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 9

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,907

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · derivative · entry 15

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 850 shares

Expires 2023-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F9 · kind: Stock 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.

F7 · derivative.exercise_date: Stock 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.

SEC source: 0001127602-17-014682 · form4.xml · derivative · entry 14

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850

Underlying: Common Stock · 2,550 shares

Expires 2023-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F8 · kind: Stock 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.

F7 · derivative.exercise_date: Stock 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.

SEC source: 0001127602-17-014682 · form4.xml · derivative · entry 13

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,300 shares

Expires 2022-12-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F7 · kind: Stock 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.

F7 · derivative.exercise_date: Stock 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.

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 8

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,721

F5 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 9 below.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 7

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,413

F4 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 8 below.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 6

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,487

F3 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 7 below.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 5

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,273

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 4

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,459

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 3

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,973

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 2

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,123

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-014682 · form4.xml · nonDerivative · entry 1

Schumann Anne T. · CIK 0001438239 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,573

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017.

F2 · balance_after: Balance includes 5,443 shares of unvested Restricted Stock, of which 33 additional shares were acquired in lieu of cash dividends (exempt pursuant to Rule 16b-3) pursuant to Ashland's plans and applicable restricted stock agreements (17 on December 15, 2016 and 16 on March 15, 2017).

SEC source: 0001127602-17-013996 · form4.xml · derivative · entry 1

WARD MICHAEL J · CIK 0001165185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,549

Underlying: Common Stock · 201 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1

F2 · kind: Common Stock Units acquired pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors (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.)

F3 · derivative.exercise_date: Subject to any deferral election on timing of distribution by the reporting person under the Plan, the Common Stock Units are payable in Common Stock upon the reporting person's separation from service as a director.

F3 · derivative.expiration_date: Subject to any deferral election on timing of distribution by the reporting person under the Plan, the Common Stock Units are payable in Common Stock upon the reporting person's separation from service as a director.

SEC source: 0001127602-17-008124 · form4.xml · derivative · entry 13

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2025-12-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · kind: Stock 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.

SEC source: 0001127602-17-008124 · form4.xml · derivative · entry 12

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,638

Underlying: Common Stock · 4,912 shares

Expires 2024-12-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · kind: Stock 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.

SEC source: 0001127602-17-008124 · form4.xml · derivative · entry 11

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2023-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · kind: Stock 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.

SEC source: 0001127602-17-008124 · form4.xml · derivative · entry 10

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,875 shares

Expires 2022-12-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Stock 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.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 9

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,990

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 8

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,599

F5 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 9 below.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 7

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,277

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 6

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,282

F4 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 8 below.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 5

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,277

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 4

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,909

F3 · kind: Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 7 below.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.

SEC source: 0001127602-17-008124 · form4.xml · nonDerivative · entry 3

FERNANDEZ-MORENO LUIS M · CIK 0001434786 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,365

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 29,418 shares of unvested Restricted Stock.