0001127602-17-014682.txt : 20170412 0001127602-17-014682.hdr.sgml : 20170412 20170412170732 ACCESSION NUMBER: 0001127602-17-014682 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170410 FILED AS OF DATE: 20170412 DATE AS OF CHANGE: 20170412 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND GLOBAL HOLDINGS INC CENTRAL INDEX KEY: 0001674862 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-CHEMICALS & ALLIED PRODUCTS [5160] IRS NUMBER: 812587835 STATE OF INCORPORATION: DE FISCAL YEAR END: 1216 BUSINESS ADDRESS: STREET 1: 50 E RIVERCENTER BLVD CITY: COVINGTON STATE: KY ZIP: 41011 BUSINESS PHONE: 859-815-3333 MAIL ADDRESS: STREET 1: 50 E RIVERCENTER BLVD CITY: COVINGTON STATE: KY ZIP: 41011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schumann Anne T. CENTRAL INDEX KEY: 0001438239 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-211719 FILM NUMBER: 17758534 MAIL ADDRESS: STREET 1: 8145 BLAZER DRIVE CITY: WILMINGTON STATE: DE ZIP: 19808 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-04-10 0001674862 ASHLAND GLOBAL HOLDINGS INC ASH 0001438239 Schumann Anne T. 1313 N MARKET STREET WILMINGTON DE 19894 1 Vice President Common Stock 2017-04-10 4 M 0 6300 70.37 A 16573 D Common Stock 2017-04-10 4 M 0 2550 89.69 A 19123 D Common Stock 2017-04-10 4 M 0 850 89.69 A 19973 D Common Stock 2017-04-10 4 S 0 1369 125.07 D 10459 D Common Stock 2017-04-10 4 S 0 186 125.07 D 10273 D Common Stock 2017-04-10 4 F 0 4486 125.07 D 15487 D Common Stock 2017-04-10 4 F 0 2074 125.07 D 13413 D Common Stock 2017-04-10 4 F 0 692 125.07 D 12721 D Common Stock 2017-04-11 4 S 0 1814 126.00 D 10907 D Common Stock 2017-04-11 4 S 0 476 126.00 D 10431 D Common Stock 2017-04-11 4 S 0 158 126.00 D 10273 D Common Stock 1308 I 401(K) Stock Appreciation Right 70.37 2017-04-10 4 M 0 6300 0 D 2013-11-14 2022-12-14 Common Stock 6300 0 D Stock Appreciation Right 89.69 2017-04-10 4 M 0 2550 0 D 2014-11-13 2023-12-13 Common Stock 2550 850 D Stock Appreciation Right 89.69 2017-04-10 4 M 0 850 0 D 2014-11-13 2023-12-13 Common Stock 850 0 D The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2017. 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). Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 7 below. Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 8 below. Payment of exercise price and tax liability by withholding securities incident to the exercise of Stock Appreciation Rights referenced in footnote 9 below. Based on Employee Savings Plan information as of April 11, 2017, the latest date for which such information is reasonably available. 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. 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. 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 2017-04-12