SEC Filing | Ashland Inc.

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Consiglio Vito J

(Last)

(First)

(Middle)

1005 ROUTE 202/206

(Street)

BRIDGEWATER

08807

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/01/2018

3. Issuer Name and Ticker or Trading Symbol
ASHLAND GLOBAL HOLDINGS INC [ ASH ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Vice President

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	152⁽¹⁾	I	401(k)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units	⁽²⁾	⁽²⁾	Common Stock	961	⁽³⁾	D
Restricted Stock Units	⁽⁴⁾	⁽⁴⁾	Common Stock	386	⁽³⁾	D
Restricted Stock Units	⁽⁵⁾	⁽⁵⁾	Common Stock	1,945	⁽³⁾	D
Restricted Stock Units	⁽⁶⁾	⁽⁶⁾	Common Stock	3,037	⁽³⁾	D
Stock Appreciation Right	11/16/2017	12/16/2026	Common Stock	1,836	57.96⁽⁷⁾	D
Stock Appreciation Right	11/15/2018	12/15/2027	Common Stock	5,200	67.16⁽⁷⁾	D

Explanation of Responses:

1. Based on Employee Savings Plan information as of September 28, 2018, the latest date for which such information is reasonably available.

2. Grant of 950 Restricted Stock Units on 11/15/17, plus 11 additional shares from dividends, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of three equal annual installments beginning 1 year from date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.

3. Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.

4. 386 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant on 11/16/16 of 565 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 have a vesting schedule of three equal annual installments beginning 1 year from date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.

5. 1,945 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant on 7/26/16 of 3,766 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 have a vesting schedule of 25% 1 year from date of grant, the next 25% 2 years from date of grant and the remaining 50% 3 years from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.

6. Grant of 3,000 Restricted Stock Units on 11/15/17, plus 37 additional shares from dividends, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of 50% after the first year, the next 25% the second year and the remaining 25% the third year, provided that the Reporting Person remains in continuous employment with the Issuer.

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.

	/s/ Jennifer I. Henkel, Attorney-in-Fact	10/09/2018
	** 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 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.