Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASHLAND INC.ASH · Entity 4139 | Senior Vice President | November 18, 2019 | November 20, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ASHLAND INC.
Report date November 18, 2019 · Filed November 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,535 |
Ending reported balance
After 2019-11-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-11-18 · Exercise / conversion · Acquired 491 · Balance 14,687 Row 2 · 2019-11-18 · Tax withholding · Disposed 152 · Balance 14,535 F1: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 4 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,383 |
Reported balance
After 2019-11-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-11-18 · Exercise / conversion · Disposed 491 · Balance 4,383 F3: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F4: Grant of Restricted Stock Units on November 16, 2016, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. |
| Common StockSEC Table I · non-derivative | Indirect401(K) | 1,347 |
Reported balance
Holding disclosure · report date 2019-11-18 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,347 F2: Based on Employee Savings Plan information as of October 31, 2019, the latest date for which such information is reasonably available. |
Filing footnotes · ownership attribution and instrument terms
F1: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units referenced in footnote 4 below, acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3.
F2: Based on Employee Savings Plan information as of October 31, 2019, the latest date for which such information is reasonably available.
F3: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F4: Grant of Restricted Stock Units on November 16, 2016, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 16, 2017 Filed Nov 17, 2017 22:23 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 477 | $70.75 | $33,747.75 |
DisclosureSEC source: 0001127602-17-032708 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,635 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: Balance includes 8,065 shares of unvested Restricted Stock. Read SEC document |
| November 15, 2017 Filed Nov 16, 2017 21:22 UTC | ASHLAND INC. ASH · Entity 4139 | GrantStock Appreciation Right · Derivative | 9,150 | $67.16 Strike: $67.16 | $614,514.00 |
DisclosureSEC source: 0001127602-17-032403 · form4.xml · derivative · entry 2 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,150 Underlying: Common Stock · 9,150 shares Expires 2027-12-15 F3 · 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. F3 · derivative.expiration_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. Read SEC document |
| November 15, 2017 Filed Nov 16, 2017 21:22 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 1,650 | $67.16 | $110,814.00 |
DisclosureSEC source: 0001127602-17-032403 · form4.xml · derivative · entry 1 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,225 Underlying: Common Stock · 1,650 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 · derivative.exercise_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. F2 · derivative.expiration_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 21:44 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 257 | $67.10 | $17,244.70 |
DisclosureSEC source: 0001127602-17-032198 · form4.xml · nonDerivative · entry 3 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,158 F3 · kind: Payment of tax liability by withholding securities incident to the vesting of Restricted Common Stock acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. F1 · balance_after: Balance includes 8,065 shares of unvested Restricted Stock. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 21:44 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 1,437 | $67.10 | $96,422.70 |
DisclosureSEC source: 0001127602-17-032198 · form4.xml · nonDerivative · entry 2 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,415 F2 · kind: Payment of tax liability by withholding of securities incident to the settlement of LTIP RSUs referenced in footnote 6 below. F1 · balance_after: Balance includes 8,065 shares of unvested Restricted Stock. Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 21:44 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionRestricted Stock Units · Derivative | 3,186 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-032198 · form4.xml · derivative · entry 5 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,575 Underlying: Common Stock · 3,186 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F6 · derivative.exercise_date: Grant of Restricted Stock Units provided after measurement of the performance of the 2015-2017 LTIP award, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant vest November 13, 2017, provided that the Reporting Person remains in continuous employment with the Issuer. F6 · derivative.expiration_date: Grant of Restricted Stock Units provided after measurement of the performance of the 2015-2017 LTIP award, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant vest November 13, 2017, provided that the Reporting Person remains in continuous employment with the Issuer. Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 21:44 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 3,186 | $67.10 | $213,780.60 |
DisclosureSEC source: 0001127602-17-032198 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,852 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: Balance includes 8,065 shares of unvested Restricted Stock. Read SEC document |
| September 18, 2017 Filed Sep 19, 2017 23:22 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 3,552 | $64.74 | $229,956.48 |
DisclosureSEC source: 0001127602-17-027773 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,666 F1 · kind: Payment of tax liability by withholding securities incident to the vesting of Restricted Common Stock acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. F2 · balance_after: Balance includes 8,594 shares of unvested Restricted Stock, including 28 shares and 31 shares earned from dividends on June 15, 2017 and September 15, 2017 respectively. The total also includes 68 shares earned from June and September dividends on the newly vested shares of Restricted Common Stock. Read SEC document |
| September 13, 2017 Filed Sep 13, 2017 19:19 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 1,003 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-027387 · form4.xml · derivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,751 Underlying: Common Stock · 1,003 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: Pursuant to the terms of the FY 2016-2018 Long Term Incentive Plan (the "LTIP Plan"), two-thirds of the performance units under the LTIP Plan were scored resulting in 1,003 time-based, stock-settled restricted stock units. F3 · derivative.exercise_date: The Restricted Stock Units described in footnote 2 vest on November 18, 2018 so long as the Reporting Person remains employed through such vesting date. F3 · derivative.expiration_date: The Restricted Stock Units described in footnote 2 vest on November 18, 2018 so long as the Reporting Person remains employed through such vesting date. Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 15:04 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 3,186 | $66.88 | $213,079.68 |
DisclosureSEC source: 0001127602-17-023981 · form4.xml · derivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,748 Underlying: Common Stock · 3,186 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 · derivative.exercise_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest on November 13, 2017, provided that the Reporting Person remains in continuous employment with the Issuer. F2 · derivative.expiration_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest on November 13, 2017, provided that the Reporting Person remains in continuous employment with the Issuer. F3 · balance_after: Balance includes 8 additional restricted stock units acquired in lieu of cash dividends paid on June 15, 2017. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 01:41 UTC | ASHLAND INC. ASH · Entity 4139 | GrantCommon Stock | 12,787 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-020736 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,060 F1 · price: Represents the sum of 4,809 shares of restricted stock granted pursuant to the adjustment described in clause (a) of this footnote (1) and 7,978 shares of restricted stock granted pursuant to the plan described in clause (b) this footnote (1). (a) 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 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. (b) Pursuant to the terms of the Executive Performance Incentive and Retention Program (the "EPIRP"), upon the Distribution, one-third of the Reporting Person's performance-based restricted shares granted under the EPIRP were convertible at "target" level (i.e. 50%) into 7,978 time-vested restricted shares immediately following the 120th day following the consummation of the Distribution. Pursuant to the terms of the EPIRP, each such time-vested restricted share was further adjusted into the number of time-vested restricted shares equal to the Equity Award Adjustment Ratio for each such time-vested restricted share. F2 · balance_after: Includes 18,230 shares of unvested restricted stock. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 19:44 UTC | ASHLAND INC. ASH · Entity 4139 | GrantStock Appreciation Right · Derivative | 2,915 | $0.00 Strike: $59.95 | $0.00 |
DisclosureSEC source: 0001127602-17-020784 · form4.xml · derivative · entry 3 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,215 Underlying: Common Stock · 2,915 shares Expires 2024-12-12 F3 · 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. F3 · 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. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 19:44 UTC | ASHLAND INC. ASH · Entity 4139 | GrantStock Appreciation Right · Derivative | 3,798 | $0.00 Strike: $59.41 | $0.00 |
DisclosureSEC source: 0001127602-17-020784 · form4.xml · derivative · entry 2 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,098 Underlying: Common Stock · 3,798 shares Expires 2025-12-18 F2 · 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. F2 · 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. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 19:44 UTC | ASHLAND INC. ASH · Entity 4139 | GrantStock Appreciation Right · Derivative | 4,107 | $0.00 Strike: $57.96 | $0.00 |
DisclosureSEC source: 0001127602-17-020784 · form4.xml · derivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,757 Underlying: Common Stock · 4,107 shares Expires 2026-12-16 F1 · 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. F1 · 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. Read SEC document |
| June 05, 2017 Filed Aug 23, 2017 21:57 UTC Amendment | ASHLAND INC. ASH · Entity 4139 | GrantCommon Stock | 12,818 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 02, 2017 Filed Jun 7, 2017 01:41 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 2,217 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 02, 2017 Filed Jun 7, 2017 01:41 UTC | ASHLAND INC. ASH · Entity 4139 | GrantCommon Stock Units · Derivative | 548 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 11, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | SaleCommon Stock | 158 | $126.00 | $19,908.00 |
DisclosureSEC 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). Read SEC document |
| April 11, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | SaleCommon Stock | 476 | $126.00 | $59,976.00 |
DisclosureSEC 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). Read SEC document |
| April 11, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | SaleCommon Stock | 1,814 | $126.00 | $228,564.00 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionStock Appreciation Right · Derivative | 850 | $0.00 Strike: $89.69 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionStock Appreciation Right · Derivative | 2,550 | $0.00 Strike: $89.69 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionStock Appreciation Right · Derivative | 6,300 | $0.00 Strike: $70.37 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 692 | $125.07 | $86,548.44 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 2,074 | $125.07 | $259,395.18 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 4,486 | $125.07 | $561,064.02 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | SaleCommon Stock | 186 | $125.07 | $23,263.02 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | SaleCommon Stock | 1,369 | $125.07 | $171,220.83 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 850 | $89.69 | $76,236.50 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 2,550 | $89.69 | $228,709.50 |
DisclosureSEC 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). Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:07 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 6,300 | $70.37 | $443,331.00 |
DisclosureSEC 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). Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:54 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionRestricted Stock Units · Derivative | 283 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-068213 · form4.xml · derivative · entry 4 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,329 Underlying: Common Stock · 283 shares Expires not disclosed 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 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F5 · derivative.exercise_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. F5 · derivative.expiration_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:54 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 97 | $111.12 | $10,778.64 |
DisclosureSEC source: 0001127602-16-068213 · form4.xml · nonDerivative · entry 2 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,302 F3 · kind: Payment of tax liability by withholding securities incident to the vesting of Restricted Stock Units acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:54 UTC | ASHLAND INC. ASH · Entity 4139 | Exercise / conversionCommon Stock | 283 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-068213 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,399 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 · price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 22:23 UTC | ASHLAND INC. ASH · Entity 4139 | GrantStock Appreciation Right · Derivative | 4,650 | $109.15 Strike: $109.15 | $507,547.50 |
DisclosureSEC source: 0001127602-16-067807 · form4.xml · derivative · entry 5 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,650 Underlying: Common Stock · 4,650 shares Expires 2026-12-16 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. F7 · derivative.expiration_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. Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 22:23 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 750 | $109.15 | $81,862.50 |
DisclosureSEC source: 0001127602-16-067807 · form4.xml · derivative · entry 4 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,612 Underlying: Common Stock · 750 shares Expires not disclosed F5 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F6 · derivative.exercise_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. F6 · derivative.expiration_date: Grant of Restricted Stock Units, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant will vest in three equal annual installments beginning one year from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer. Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 22:23 UTC | ASHLAND INC. ASH · Entity 4139 | Disposition to issuerCommon Stock | 640 | $109.15 | $69,856.00 |
DisclosureSEC source: 0001127602-16-067807 · form4.xml · nonDerivative · entry 2 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,116 F3 · kind: Deferral of a portion of securities acquired in relation to the settlement of LTIP award referenced in footnote 1 above pursuant to Ashland's deferred compensation plan. F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 22:23 UTC | ASHLAND INC. ASH · Entity 4139 | GrantCommon Stock | 2,133 | $109.15 | $232,816.95 |
DisclosureSEC source: 0001127602-16-067807 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,756 F1 · kind: Ashland Common Stock acquired upon settlement of LTIP award pursuant to Ashland's incentive plan and exempt under Rule 16b-3(d). F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
| November 16, 2016 Filed Nov 28, 2016 22:25 UTC Amendment | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 507 | $109.15 | $55,339.05 |
DisclosureSEC source: 0001127602-16-068502 · form4a.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,609 F1 · kind: Payment of tax liability by withholding of securities incident to the settlement of LTIP award referenced in footnote 1 of the Form 4 filed November 18, 2016. F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
| November 16, 2016 Filed Jan 9, 2017 21:36 UTC Amendment | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock Units · Derivative | 22 | $109.15 | $2,401.30 |
DisclosureSEC source: 0001127602-17-001379 · form4a.xml · derivative · entry 2 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618 Underlying: Common Stock · 22 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1. F4 · kind: Payment of tax liability by withholding of securities incident to the deferral of LTIP award referenced in footnote 2 above. 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 in-service distribution election, retirement or other termination. 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 in-service distribution election, retirement or other termination. Read SEC document |
| November 16, 2016 Filed Jan 9, 2017 21:36 UTC Amendment | ASHLAND INC. ASH · Entity 4139 | OtherCommon Stock Units · Derivative | 640 | $109.15 | $69,856.00 |
DisclosureSEC source: 0001127602-17-001379 · form4a.xml · derivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640 Underlying: Common Stock · 640 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1. F2 · kind: Reflects the deferral of a portion of securities acquired in relation to the settlement of LTIP award as referenced in footnote 3 to the original Form 4 filed on November 18, 2016, pursuant to Ashland's deferred compensation plan. 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 in-service distribution election, retirement or other termination. 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 in-service distribution election, retirement or other termination. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:30 UTC | ASHLAND INC. ASH · Entity 4139 | Tax withholdingCommon Stock | 198 | $108.22 | $21,427.56 |
DisclosureSEC source: 0001127602-16-067467 · form4.xml · nonDerivative · entry 1 Schumann Anne T. · CIK 0001438239 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,623 F1 · kind: Payment of tax liability by withholding incident to the receipt of the vesting of shares of Restricted Common Stock acquired pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. F2 · balance_after: Includes 5,410 shares of unvested Restricted Stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.