-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PBrh2CL2nW9v+Ql9+rtuPDoGmdltWZ9xNIRp11pNQ12DzQcwREvmuvbidNV+lXx3 bYdBcI5lyJONSC4eSYWrOQ== 0000007694-97-000242.txt : 19971113 0000007694-97-000242.hdr.sgml : 19971113 ACCESSION NUMBER: 0000007694-97-000242 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970930 FILED AS OF DATE: 19971113 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND INC CENTRAL INDEX KEY: 0000007694 STANDARD INDUSTRIAL CLASSIFICATION: PETROLEUM REFINING [2911] IRS NUMBER: 610122250 STATE OF INCORPORATION: KY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-02918 FILM NUMBER: 97716605 BUSINESS ADDRESS: STREET 1: 1000 ASHLAND DRIVE CITY: RUSSELL STATE: KY ZIP: 41169 BUSINESS PHONE: 6063293333 MAIL ADDRESS: STREET 1: P O BOX 391 CITY: ASHLAND STATE: KY ZIP: 41101 FORMER COMPANY: FORMER CONFORMED NAME: ASHLAND OIL INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ASHLAND OIL & REFINING CO DATE OF NAME CHANGE: 19700806 COMPANY DATA: COMPANY CONFORMED NAME: CARLUCCI FRANK C CENTRAL INDEX KEY: 0001026039 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: KY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: THE CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE N W CITY: WASHINGTON STATE: DC ZIP: 20004-2505 BUSINESS PHONE: 6063293333 MAIL ADDRESS: STREET 1: CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE N W CITY: WASHINGTON STATE: DC ZIP: 20004-2502 5 1 FORM 5 - SEPTEMBER 30, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person Carlucci, Frank C. Carlye Group 1001 Pennsylvania Avenue Washington, D.C. 20004-2505 2. Issuer Name and Ticker or Trading Symbol Ashland Inc. ASH 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year September 30, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Reporting (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 |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock | | | | | |2,000 (1) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |200 |I |By Spouse | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |385 (2) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Common Stock Units (3) |1-for-1 | |J |1,099 |A | | |Common Stock|1,099 |(3) |19,944 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |37.50 | | | | |7-28-|1-28-|Common Stock|1,000 | |1,000 |D | | | | | | | |94 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |33.00 | | | | |7-27-|1-27-|Common Stock|1,000 | |1,000 |D | | | | | | | |95 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |43.125 | | | | |1-30-|1-30-|Common Stock|1,000 | |1,000 |D | | | | | | | |97 |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. 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. 2. Shares allocated pursuant to Ashland's Dividend Reinvestment Plan. 3. Common Stock Units acquired pursuant to Ashland's Deferred Compensation and Stock Incentive Plan for Non-Employee Directors, payable in cash or stock upon termination in service, and exempt under Rule 16b-3. The acquisition dates range from 1/1/97 to 9/30/97 and the price of the Common Stock Units on applicable acquisition dates has varied from $40.250 to $54.375. 4. Stock options (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's Deferred Compensation and Stock Incentive Plan for Non-Employee Directors. SIGNATURE OF REPORTING PERSON Frank C. Carlucci DATE October 14, 1997 -----END PRIVACY-ENHANCED MESSAGE-----