-----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, I0A8WEYy1y4E3yGuX06km7WgrduVMingkEMqcsbAnqO0kzAr9PMNk0AFJqNo6zBt 37Pntkh9C4UM2ODmT/YggQ== 0000007694-00-000015.txt : 20000202 0000007694-00-000015.hdr.sgml : 20000202 ACCESSION NUMBER: 0000007694-00-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000110 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: 4 SEC ACT: SEC FILE NUMBER: 001-02918 FILM NUMBER: 503815 BUSINESS ADDRESS: STREET 1: 50 E. RIVERCENTER BOULEVARD CITY: COVINGTON STATE: KY ZIP: 41012 BUSINESS PHONE: 6068153333 MAIL ADDRESS: STREET 1: 50 E. RIVERCENTER BOULEVARD CITY: COVINGTON STATE: KY ZIP: 41012 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: CHELLGREN PAUL W CENTRAL INDEX KEY: 0001023533 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 391 CITY: ASHLAND STATE: KY ZIP: 41114 BUSINESS PHONE: 6063293333 MAIL ADDRESS: STREET 1: C/O ASHLAND INC STREET 2: 1000 ASHLAND DRIVE PO BOX 391 CITY: RUSSELL STATE: KY ZIP: 41169 4 1 FORM 4 - DECEMBER 31, 1999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Chellgren, Paul W. 50 E. RiverCenter Boulevard Covington, KY 41012-0391 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 December 31, 1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chief Executive Officer 7. 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 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 | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock | | | | | | |10,217 (1) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |27,034 (2) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |60,000 (3) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |4,045 (4) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12-1-9|G |V|3,800 |D | |18,300 |D | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price 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 |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Option (5) |30.750 | | | | | |9-20-|10-20|Common Stock|6,250 | |6,250 |D | | | | | | | | |91 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.750 | | | | | |9-20-|10-20|Common Stock|6,250 | |6,250 |D | | | | | | | | |92 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.750 | | | | | |9-20-|10-20|Common Stock|6,250 | |6,250 |D | | | | | | | | |93 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.750 | | | | | |9-20-|10-20|Common Stock|6,250 | |6,250 |D | | | | | | | | |94 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |30.50 | | | | | |9-19-|10-19|Common Stock|12,500 | |12,500 |D | | | | | | | | |92 |-01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.50 | | | | | |9-19-|10-19|Common Stock|6,250 | |6,250 |D | | | | | | | | |93 |-01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.50 | | | | | |9-19-|10-19|Common Stock|6,250 | |6,250 |D | | | | | | | | |94 |-01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |23.875 | | | | | |9-21-|10-21|Common Stock|15,000 | |15,000 |D | | | | | | | | |93 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | | |9-21-|10-21|Common Stock|7,500 | |7,500 |D | | | | | | | | |94 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | | |9-21-|10-21|Common Stock|7,500 | |7,500 |D | | | | | | | | |95 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |24.625 | | | | | |11-5-|12-5-|Common Stock|12,500 | |12,500 |D | | | | | | | | |93 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |24.625 | | | | | |11-5-|12-5-|Common Stock|6,250 | |6,250 |D | | | | | | | | |94 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |24.625 | | | | | |11-5-|12-5-|Common Stock|6,250 | |6,250 |D | | | | | | | | |95 |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |33.125 | | | | | |9-16-|10-16|Common Stock|20,000 | |20,000 |D | | | | | | | | |94 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |95 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |96 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |35.875 | | | | | |9-15-|10-15|Common Stock|20,000 | |20,000 |D | | | | | | | | |95 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | | |9-15-|10-15|Common Stock|10,000 | |10,000 |D | | | | | | | | |96 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | | |9-15-|10-15|Common Stock|10,000 | |10,000 |D | | | | | | | | |97 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |33.875 | | | | | |9-21-|10-21|Common Stock|20,000 | |20,000 |D | | | | | | | | |96 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | | |9-21-|10-21|Common Stock|10,000 | |10,000 |D | | | | | | | | |97 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | | |9-21-|10-21|Common Stock|10,000 | |10,000 |D | | | | | | | | |98 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |39.00 | | | | | |9-19-|10-19|Common Stock|25,000 | |25,000 |D | | | | | | | | |97 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | | |9-19-|10-19|Common Stock|12,500 | |12,500 |D | | | | | | | | |98 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | | |9-19-|10-19|Common Stock|12,500 | |12,500 |D | | | | | | | | |99 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |53.375 |12-2-|J(8)|V|10,000 |A |9-18-|10-18|Common Stock|10,000 | |10,000 |D | | | |99 | | | | |98 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |53.375 | | | | | |9-18-|10-18|Common Stock|10,000 | |10,000 |D | | | | | | | | |99 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |53.375 | | | | | |9-18-|10-18|Common Stock|10,000 | |10,000 |D | | | | | | | | |00 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |53.375 | | | | | |9-18-|10-18|Common Stock|5,000 | |5,000 | I |By Daughter | | | | | | | |98 |-07 | | | | |(9)| | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |53.375 |12-2-|J(8)|V|10,000 |D |9-18-|10-18|Common Stock|10,000 | |0 |I |By Daughter | | |99 | | | | |98 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |53.375 | | | | | |9-18-|10-18|Common Stock|5,000 | |5,000 |I (|By Son | | | | | | | |98 |-07 | | | | |10)| | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |48.00 | | | | | |9-17-|10-17|Common Stock|20,000 | |20,000 |D | | | | | | | | |99 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |48.00 | | | | | |9-17-|10-17|Common Stock|10,000 | |10,000 |D | | | | | | | | |00 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |48.00 | | | | | |9-17-|10-17|Common Stock|10,000 | |10,000 |D | | | | | | | | |01 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |50.4375 | | | | | |11-5-|12-5-|Common Stock|20,000 | |20,000 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |50.4375 | | | | | |11-5-|12-5-|Common Stock|10,000 | |10,000 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |50.4375 | | | | | |11-5-|12-5-|Common Stock|10,000 | |10,000 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (7) |36.625 | | | | | |9-16-|10-16|Common Stock|60,000 | |60,000 |D | | | | | | | | |00 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|60,000 | |60,000 |D | | | | | | | | |01 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|60,000 | |60,000 |D | | | | | | | | |02 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|60,000 | |60,000 |D | | | | | | | | |03 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (11|1-for-1 | |J |V|510 |A | | |Common Stock|510 | |43,547 |D | | ) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of 3-31-96, the date of the final allocation to this account. 2. Based on Employee Savings Plan information as of 1-3-00, the latest date for which such information is reasonably available, and includes transactions occurring after 11-15-99. 3. Shares of restricted common stock granted pursuant to Ashland's 1997 Stock Incentive Plan and exempt under Rule 16b-3. The restricted common stock has been enrolled in Ashland's Dividend Reinvestment Plan. 4. Shares held in Ashland's Dividend Reinvestment Plan as of 12-15-99. 5. Employee stock option (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's Long-Term Incentive Plan. The employee stock option includes a tax withholding feature pursuant to the plan. 6. Employee stock option (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's 1993 Stock Incentive Plan. The employee stock option includes a tax withholding feature pursuant to the plan. 7. Employee stock option (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's 1997 Stock Incentive Plan. The employee stock option includes a tax withholding feature pursuant to the plan. 8. Revocation of transfer of stock options to my daughter, Sarah Chellgren. 9. I hereby disclaim beneficial ownership of all securities owned by my daughter, Jane Chellgren. 10. I hereby disclaim beneficial ownership of all securities owned by my son, Matthew Chellgren. 11. Common Stock Units acquired pursuant to Ashland's 1995 Deferred Compensation Plan as of 12-31-99 and includes transactions after 11-4-99, payable in cash or stock upon termination of service and exempt under Rule 16b-3(d). The price of the Common Stock Units on applicable valuation dates has varied from $32.125 - $35.00. SIGNATURE OF REPORTING PERSON Paul W. Chellgren -----END PRIVACY-ENHANCED MESSAGE-----