-----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, DfZX+QVFSgJuyd4PuUpeMhL3d2yWO7F1KRg9WehHy7mrVau2FG0XnQoh/csxsiPr gu0XG4WA0hPgf4APrGf6YQ== /in/edgar/work/0000007694-00-000156/0000007694-00-000156.txt : 20001110 0000007694-00-000156.hdr.sgml : 20001110 ACCESSION NUMBER: 0000007694-00-000156 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001109 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND INC CENTRAL INDEX KEY: 0000007694 STANDARD INDUSTRIAL CLASSIFICATION: [1600 ] 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: 756548 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: HAUSRATH DAVID L CENTRAL INDEX KEY: 0001077477 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 50 E RIVERCENTER BLVD STREET 2: PO BOX 391 CITY: COVINGTON STATE: KY ZIP: 41012-0391 BUSINESS PHONE: 6063293333 MAIL ADDRESS: STREET 1: P O BOX 391 CITY: ASHLAND STATE: KY ZIP: 41101 5 1 0001.txt FORM 5 - SEPTEMBER 30, 2000 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 Hausrath, David L. 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 September 30, 2000 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) Vice President:General Counsel 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 | | | | | |3,289 (1) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |3,834 (2) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |300 |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)| | ___________________________________________________________________________________________________________________________________| Option (3) |23.875 | | | | |9-21-|10-21|Common Stock|750 | |750 |D | | | | | | | |93 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | |9-21-|10-21|Common Stock|375 | |375 |D | | | | | | | |94 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | |9-21-|10-21|Common Stock|375 | |375 |D | | | | | | | |95 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |33.125 | | | | |9-16-|10-16|Common Stock|1,000 | |1,000 |D | | | | | | | |94 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | |9-16-|10-16|Common Stock|500 | |500 |D | | | | | | | |95 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | |9-16-|10-16|Common Stock|500 | |500 |D | | | | | | | |96 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |35.875 | | | | |9-15-|10-15|Common Stock|1,000 | |1,000 |D | | | | | | | |95 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | |9-15-|10-15|Common Stock|500 | |500 |D | | | | | | | |96 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | |9-15-|10-15|Common Stock|500 | |500 |D | | | | | | | |97 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |33.875 | | | | |9-21-|10-21|Common Stock|1,000 | |1,000 |D | | | | | | | |96 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | |9-21-|10-21|Common Stock|500 | |500 |D | | | | | | | |97 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | |9-21-|10-21|Common Stock|500 | |500 |D | | | | | | | |98 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |39.00 | | | | |9-19-|10-19|Common Stock|1,000 | |1,000 |D | | | | | | | |97 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | |9-19-|10-19|Common Stock|500 | |500 |D | | | | | | | |98 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | |9-19-|10-19|Common Stock|500 | |500 |D | | | | | | | |99 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |53.375 | | | | |9-18-|10-18|Common Stock|2,000 | |2,000 |D | | | | | | | |98 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |53.375 | | | | |9-18-|10-18|Common Stock|1,000 | |1,000 |D | | | | | | | |99 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |53.375 | | | | |9-18-|10-18|Common Stock|1,000 | |1,000 |D | | | | | | | |00 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |48.00 | | | | |9-17-|10-17|Common Stock|4,000 | |4,000 |D | | | | | | | |99 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |48.00 | | | | |9-17-|10-17|Common Stock|2,000 | |2,000 |D | | | | | | | |00 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |48.00 | | | | |9-17-|10-17|Common Stock|2,000 | |2,000 |D | | | | | | | |01 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |36.625 | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | |00 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | |01 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | |02 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | |03 |-00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (7) |1-for-1 | |J |195 |A | | |Common Stock|195 | |2,060 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of 9-30-00. 2. Based on Employee Savings Plan information as of 9-30-00, the latest date for which such information is reasonably available, and includes transactions occurring on or after 2-8-00. 3. 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. 4. Employee stock option (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's Amended Stock Incentive Plan. The employee stock option includes a tax withholding feature pursuant to the plan. 5. 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. 6. 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. 7. Common Stock Units acquired pursuant to Ashland's 1995 Deferred Compensation Plan as of 9-30-00 and includes transactions occurring on or after 1-31-00, payable in cash or stock upon termination of service and exempt under Rule 16b-3(d). The price of the Common Stock Units on the applicable valuation dates ranged from $29.313 - $35.750. SIGNATURE OF REPORTING PERSON David L. Hausrath DATE October 17, 2000 -----END PRIVACY-ENHANCED MESSAGE-----