UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Right | 11/15/2007 | 12/15/2016 | Common Stock | 2,900 | $ 65.78 (4) | D | Â |
Stock Appreciation Right | 11/18/2010 | 12/18/2019 | Common Stock | 1,600 | $ 37.69 (4) | D | Â |
Stock Appreciation Right | 11/17/2011 | 12/17/2020 | Common Stock | 2,500 | $ 51.86 (4) | D | Â |
Stock Appreciation Right | 12/02/2012 | 01/02/2022 | Common Stock | 4,900 | $ 55.56 (5) | D | Â |
Stock Appreciation Right | 11/14/2013 | 12/14/2022 | Common Stock | 5,800 | $ 70.37 (5) | D | Â |
Common Stock Units | Â (6) | Â (6) | Common Stock | 14,764 | $ (7) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WILLIS J KEVIN 50 E. RIVERCENTER BLVD. COVINGTON, KY 41011 |
 |  |  Chief Financial Officer |  |
/s/ David A. Rines, Attorney-in-Fact | 05/03/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Based on Employee Savings Plan information as of April 26, 2013, the latest date for which such information is reasonably available. |
(2) | Represents shares of Restricted Common Stock acquired pursuant to Ashland's stock incentive plans as approved by the shareholders and exempt pursuant to Rule 16b-3. |
(3) | Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of 4/26/2013. |
(4) | Stock Appreciation Right granted pursuant to the 2006 Ashland Inc. Incentive Plan which vests in three annual installments: 50% after the 1st year, the next 25% the 2nd year and the remaining 25% the 3rd year. |
(5) | Stock Appreciation Right granted pursuant to the 2011 Ashland Inc. Incentive Plan which vests in three annual installments: 50% after the 1st year, the next 25% the 2nd year and the remaining 25% the 3rd year. |
(6) | Common Stock Units acquired pursuant to Ashland's Deferred Compensation Plan (the "Plan") and exempt under Rule 16b-3(d). (One (1) Common Stock Unit in the Deferred Compensation Plan is the equivalent of one (1) share of Ashland Common Stock.) |
(7) | 1 for 1. |