-----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, MC3iMDOycO+BBGFaXwT5hBKKRQbZr+QjHuLJeSb7QLZwKrF8sjryMzqheqScC/Bd u4sNdiz64RAbOwGskcAqBQ== 0000007694-99-000113.txt : 19991105 0000007694-99-000113.hdr.sgml : 19991105 ACCESSION NUMBER: 0000007694-99-000113 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991104 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: 99740969 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: PFEIFFER JANE C CENTRAL INDEX KEY: 0001026062 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: KY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: REPUBLIC BANK CENTER STREET 2: 700 LOUISIANNA, SUITE 3920 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 6063293333 MAIL ADDRESS: STREET 1: REPUBLIC BANK CENTER STREET 2: 700 LOUISIANNA, SUITE 3920 CITY: HOUSTON STATE: TX ZIP: 77002 5 1 FORM 5 - SEPTEMBER 30, 1999 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 Pfeiffer, Jane C. 1050 Beach Road Apt. 1G Vero Beach, FL 32963 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, 1999 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 | | | | | |823 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |2,000 (1) |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 (2) |37.50 | | | | |7-28-|1-28-|Common Stock|1,000 | |1,000 |D | | | | | | | |94 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |33.00 | | | | |7-27-|1-27-|Common Stock|1,000 | |1,000 |D | | | | | | | |95 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |43.125 | | | | |7-30-|1-30-|Common Stock|1,000 | |1,000 |D | | | | | | | |97 |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |52.75 | | | | |7-29-|1-29-|Common Stock|1,000 | |1,000 |D | | | | | | | |98 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (3) |1-for-1 | |J |1,948 |A | | |Common Stock|1,948 | |11,840 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
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. 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. 3. Common Stock Units acquired pursuant to Ashland's Deferred Compensation and Stock Incentive Plan for Non-Employee Directors as of 9-30-99 and includes transactions on or after 10-1-98, payable in cash or stock upon termination in service, and exempt under Rule 16b-3. The price of the Common Stock Units on applicable dates has varied from $33.625 - $49.00. SIGNATURE OF REPORTING PERSON Jane C. Pfeiffer DATE November 3, 1999 -----END PRIVACY-ENHANCED MESSAGE-----