-----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, KMHsweKjoEkYZhB0W6W7oa1zKONduh2FdUXldExEtmNw0M8JioLeCnib7n8MMWnK rvwcH+h8OTC5rN9kRRUrKA== 0000007694-02-000021.txt : 20020414 0000007694-02-000021.hdr.sgml : 20020414 ACCESSION NUMBER: 0000007694-02-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND INC CENTRAL INDEX KEY: 0000007694 STANDARD INDUSTRIAL CLASSIFICATION: HEAVY CONSTRUCTION OTHER THAN BUILDING CONST - CONTRACTORS [1600] IRS NUMBER: 610122250 STATE OF INCORPORATION: KY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-02918 FILM NUMBER: 02533891 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: LACY J DANIEL CENTRAL INDEX KEY: 0001077478 OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 50 E RIVERCENTER BLVD STREET 2: POST OFFICE 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 4 1 edgar.txt FORM 4 - JANUARY 31, 2002 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 Lacy, James D. Ashland Inc. P.O. Box 391 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 January 31, 2002 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 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 | | | | | | |5,829 (1) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |4,442 (2) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1-29-0|M | |4,000 |A |$35.875 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1-29-0|M | |3,000 |A |$33.875 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1-29-0|S | |1,000 |S |$45.40 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |1-29-0|S | |6,000 |S |$45.35 |0 | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 (3) |35.875 |1-29-|M | |2,000 |D |9-15-|10-15|Common Stock|2,000 | |0 |D | | | |02 | | | | |95 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 |1-29-|M | |1,000 |D |9-15-|10-15|Common Stock|1,000 | |0 |D | | | |02 | | | | |96 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 |1-29-|M | |1,000 |D |9-15-|10-15|Common Stock|1,000 | |0 |D | | | |02 | | | | |97 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |33.875 |1-29-|M | |1,000 |D |9-21-|10-21|Common Stock|1,000 | |0 |D | | | |02 | | | | |96 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 |1-29-|M | |1,000 |D |9-21-|10-21|Common Stock|1,000 | |0 |D | | | |02 | | | | |97 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 |1-29-|M | |1,000 |D |9-21-|10-21|Common Stock|1,000 | |0 |D | | | |02 | | | | |98 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |39.00 | | | | | |9-19-|10-19|Common Stock|2,000 | |2,000 |D | | | | | | | | |97 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | | |9-19-|10-19|Common Stock|1,000 | |1,000 |D | | | | | | | | |98 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | | |9-19-|10-19|Common Stock|1,000 | |1,000 |D | | | | | | | | |99 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |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 (4) |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 (4) |36.625 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |00 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |01 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |02 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.625 | | | | | |9-16-|10-16|Common Stock|10,000 | |10,000 |D | | | | | | | | |03 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |36.38 | | | | | |9-20-|10-20|Common Stock|7,500 | |7,500 |D | | | | | | | | |02 |-11 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.38 | | | | | |9-20-|10-20|Common Stock|3,750 | |3,750 |D | | | | | | | | |03 |-11 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |36.38 | | | | | |9-20-|10-20|Common Stock|3,750 | |3,750 |D | | | | | | | | |04 |-11 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (6)|1-for-1 | |J | |45 |A | | |Common Stock|45 | |530 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of 1-31-02. 2. Based on Employee Savings Plan information as of 2-8-02, the latest date for which such information is reasonably available, and includes transactions occurring on or after 10-1-01. 3. 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. 4. 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. 5. Employee stock option (represents a right to buy Ashland Common Stock) granted pursuant to Ashland's Amended and Restated Incentive Plan. The employee stock option includes a tax withholding feature pursuant to the plan. 6. Common Stock Units acquired pursuant to Ashland's 1995 Deferred Compensation Plan as of 1-31-02 and includes transactions on or after 10-1-01, and exempt under Rule 16b-3(d). The price of the Common Stock Units on applicable valuation dates has varied from $39.910 - - $46.340. (One (1) Common Stock Unit in the 1995 Deferred Compensation Plan is the equivalent of one (1) share of Ashland Common Stock) SIGNATURE OF REPORTING PERSON James D. Lacy DATE February 10, 2002 -----END PRIVACY-ENHANCED MESSAGE-----