SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Schumann Anne T.

(Last) (First) (Middle)
1313 N MARKET STREET

(Street)
WILMINGTON DE 19894

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ASHLAND GLOBAL HOLDINGS INC [ ASH ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
01/16/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/16/2018 S(1) 1,071 D $73.46 20,633(2) D
Common Stock 01/16/2018 S(1) 949 D $73.46 19,684(2) D
Common Stock 01/16/2018 S(1) 3,366 D $73.46 16,318(2) D
Common Stock 01/16/2018 S(1) 3,121 D $73.46 13,197(2) D
Common Stock 01/16/2018 M(1) 6,215 A $59.95 19,412(2) D
Common Stock 01/16/2018 M(1) 6,073 A $59.41 25,485(2) D
Common Stock 01/16/2018 M(1) 4,378 A $57.96 29,863(2) D
Common Stock 01/16/2018 F(3) 5,073 D $73.46 24,790(2) D
Common Stock 01/16/2018 F(4) 4,912 D $73.46 19,878(2) D
Common Stock 01/16/2018 F(5) 3,455 D $73.46 16,423(2) D
Common Stock 01/17/2018 S(1) 1,142 D $72.75 15,281(2) D
Common Stock 01/17/2018 S(1) 1,161 D $72.75 14,120(2) D
Common Stock 01/17/2018 S(1) 923 D $72.75 13,197(2) D
Common Stock 1,319(6) I 401(K)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Appreciation Right $59.95 01/16/2018 M(1) 6,215 11/12/2015(7) 12/12/2024(7) Common Stock 6,215 $0 0 D
Stock Appreciation Right $59.41 01/16/2018 M(1) 6,073 11/18/2016(8) 12/18/2025(8) Common Stock 6,073 $0 2,025 D
Stock Appreciation Right $57.96 01/16/2018 M(1) 4,378 11/16/2017(9) 12/16/2026(9) Common Stock 4,378 $0 4,379 D
Explanation of Responses:
1. The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2017.
2. Balance includes 8,089 shares of unvested Restricted Stock, of which 24 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.
3. Payment of exercise price by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 7 below.
4. Payment of exercise price by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 8 below.
5. Payment of exercise price by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 9 below.
6. Based on Employee Savings Plan information as of January 12, 2018, the latest date for which such information is reasonably available.
7. 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.
8. 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.
9. 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.
/s/ Jennifer I. Henkel, Attorney-in-Fact 01/18/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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