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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| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ASHLAND GLOBAL HOLDINGS INC
[ ASH ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| Chief Financial Officer |
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3. Date of Earliest Transaction
(Month/Day/Year)
09/03/2021
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
09/03/2021 |
|
M
|
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2,307 |
A |
$29.5
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3,131 |
D |
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| Common Stock |
09/03/2021 |
|
D
|
|
727 |
D |
$93.5
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2,404 |
D |
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| Common Stock |
09/03/2021 |
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F
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|
475 |
D |
$93.5
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1,929 |
D |
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| Common Stock |
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|
|
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33,082
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I |
401(k) |
| Common Stock |
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|
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0 |
I |
Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Stock Appreciation Right |
$29.5
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09/03/2021 |
|
M
|
|
|
2,307 |
12/02/2012 |
01/02/2022 |
Common Stock |
2,307 |
$0
|
0 |
D |
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| Explanation of Responses: |
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/s/ Babatunde Awodiran, Attorney-in-Fact |
09/08/2021 |
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** 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). |
| 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. |
POWER OF ATTORNEY
The undersigned hereby appoints Babatunde Awodiran, signing singly, his or
her true and lawful attorney-in-fact to:
(1) apply for and obtain on behalf of the undersigned the necessary access
codes to file Forms 3, 4, 5 and 144, pursuant to Section 16(a) of the Securities
Exchange Act of 1934 and Rule 144 of the Securities Act of 1933, respectively,
electronically via the EDGAR system pursuant to Regulation S-T and the rules
thereunder, and
(2) act in a filing agent capacity to perform any and all acts for and on behalf
of the undersigned which may be necessary to complete the filing of any such
Form 3, 4, 5 and 144 with the U.S. Securities and Exchange Commission and
any other authority in accordance with Section 16(a) of the Securitie
Exchange Act of 193
The undersigned hereby grants to the attorney-in-fact the full power and
authority, for me and on my behalf, to perform all acts necessary and proper
to be done in the exercise of the rights and powers hereby granted.
The undersigned acknowledges that the foregoing individual is acting under
this Power of Attorney at the request of the undersigned, and is not assuming
any of the undersigned?s responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934 or Rule 144 of the Securities Act of 1933.
The attorney-in-fact shall be authorized to act under this Power of Attorney
only so long as such attorney-in-fact is an officer of Ashland Global Holdings
Inc., or until such time as this Power of Attorney has been revoked, annulled
or set aside.
This Power of Attorney supersedes any and all powers of attorney previously
granted to the attorney-in-fact with regard to the aforementioned; provided,
however, that any action or actions taken prior hereto pursuant to such
superseded powers shall not be deemed to be unauthorized by virtue of this
document.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of this 11th day of May, 2021.
/s/ J. Kevin Willis
