-----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, CazanQTqzoQM/2P/4zJwSzqEoPbD5tWMTJzQtfIOV/VUdkVKRjD3a07tc93mjYFR ifFu/97bCoqsGgvQAuQwZw== 0000007694-02-000034.txt : 20020415 0000007694-02-000034.hdr.sgml : 20020415 ACCESSION NUMBER: 0000007694-02-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020228 FILED AS OF DATE: 20020307 COMPANY DATA: COMPANY CONFORMED NAME: HAUSRATH DAVID L CENTRAL INDEX KEY: 0001077477 OFFICER FILING VALUES: FORM TYPE: 4 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 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND INC CENTRAL INDEX KEY: 0000007694 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-CHEMICALS & ALLIED PRODUCTS [5160] 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: 02568876 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 4 1 edgar.txt FORM 4 - FEBRUARY 28, 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 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 February 28, 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:General Counsel 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 | | | | | | |3,288 (1) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |1,032 (2) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |2-1-02|F (3| |2,277 |D |$46.760 | | | | | |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |2-1-02|M | |2,906 |A |$36.625 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |2-1-02|F (4| |266 |D |$46.760 |2,640 |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 | | | 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) |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 |1-31-|M | |2,906 |D |9-16-|10-16|Common Stock|2,906 | |7,094 |D | | | |02 | | | | |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 (7) |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 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (8) |46.76 |1-31-|A |V|2,277 |A |1-31-|10-16|Common Stock|2,277 | |2,277 |D | | | |02 | | | | |02 |-09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (9)|1-for-1 | | | | | | | |Common Stock|9,633 | |9,633 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. Shares accrued under Ashland's Leveraged Employee Stock Ownership Plan as of 2-28-02. 2. Based on Employee Savings Plan information as of 3-1-02, the latest date for which such information is reasonably available, and includes transactions occurring on or after 1-2-02. 3. Shares surrendered in payment of option exercise price. 4. Withholding of shares to satisfy tax withholding obligation. 5. 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. 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. 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. 9. Common Stock Units acquired pursuant to Ashland's 1995 Deferred Compensation Plan as of 2-28-02, and exempt under Rule 16b-3(d). (One (1) Common Stock Unit in the 1995 Deferred Compensation Plan is the equivalent of one (1) share of Ashland Common Stock)feature pursuant to the plan. SIGNATURE OF REPORTING PERSON David L. Hausrath DATE March 6, 2002 -----END PRIVACY-ENHANCED MESSAGE-----