-----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, T7aet4KTwd/ijpVTlf+wEZUf3GRGPzMq6VgvXHoW/VBzfEWutnKPRCvxHxTSgfd2 x0AZRRV6Sr+eqw0VIUVibQ== 0000007694-99-000154.txt : 19991108 0000007694-99-000154.hdr.sgml : 19991108 ACCESSION NUMBER: 0000007694-99-000154 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991105 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: 99742602 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: BROTHERS JOHN A /KY CENTRAL INDEX KEY: 0001023587 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: PO BOX 2219 CITY: COLUMBUS STATE: OH ZIP: 43216 BUSINESS PHONE: 6063294784 MAIL ADDRESS: STREET 1: C/O ASHLAND INC STREET 2: 1000 ASHLAND DRIVE PO BOX 391 CITY: RUSSELL STATE: KY ZIP: 41169 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 (X) 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 Brothers, John A. 5200 Blazer Parkway Dublin, Ohio 43017 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) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Senior Vice President 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 | | | | | |18,544 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |7,776 (1) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | |1,482 (2) |I |By Trustee | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |9-30-9|J (3|20,000 |D |$33.625 |0 |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 |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 (4) |30.50 | | | | |9-19-|10-19|Common Stock|6,250 | |3,750 |D | | | | | | | |93 |-01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |30.50 | | | | |9-19-|10-19|Common Stock|6,250 | |6,250 |D | | | | | | | |94 |-01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |23.875 | | | | |9-21-|10-21|Common Stock|12,500 | |12,500 |D | | | | | | | |93 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | |9-21-|10-21|Common Stock|6,250 | |6,250 |D | | | | | | | |94 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |23.875 | | | | |9-21-|10-21|Common Stock|6,250 | |6,250 |D | | | | | | | |95 |-02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |33.125 | | | | |9-16-|10-16|Common Stock|12,500 | |12,500 |D | | | | | | | |94 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | |9-16-|10-16|Common Stock|6,250 | |6,250 |D | | | | | | | |95 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.125 | | | | |9-16-|10-16|Common Stock|6,250 | |6,250 |D | | | | | | | |96 |-03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |35.875 | | | | |9-15-|10-15|Common Stock|12,500 | |12,500 |D | | | | | | | |95 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | |9-15-|10-15|Common Stock|6,250 | |6,250 |D | | | | | | | |96 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |35.875 | | | | |9-15-|10-15|Common Stock|6,250 | |6,250 |D | | | | | | | |97 |-04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |33.875 | | | | |9-21-|10-21|Common Stock|12,500 | |12,500 |D | | | | | | | |96 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | |9-21-|10-21|Common Stock|6,250 | |6,250 |D | | | | | | | |97 |--05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |33.875 | | | | |9-21-|10-21|Common Stock|6,250 | |6,250 |D | | | | | | | |98 |-05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (5) |39.00 | | | | |9-19-|10-19|Common Stock|12,500 | |12,500 |D | | | | | | | |97 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | |9-19-|10-19|Common Stock|6,250 | |6,250 |D | | | | | | | |98 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |39.00 | | | | |9-19-|10-19|Common Stock|6,250 | |6,250 |D | | | | | | | |99 |-06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |53.375 | | | | |9-18-|10-18|Common Stock|15,000 | |15,000 |D | | | | | | | |98 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| |53.375 | | | | |9-18-|10-18|Common Stock|15,000 | |15,000 |D | | | | | | | |99 |-07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (6) |48.00 | | | | |9-17-|10-17|Common Stock|15,000 | |15,000 |D | | | | | | | |99 |-08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Units (7) |1-for-1 | |J |20,242 |A | | |Common Stock|20,242 | |38,057 |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 9-30-99 and includes transactions occurring on or after 7-21-99. 3. The Reporting Person's shares of restricted common stock granted pursuant to Ashland's 1993 Stock Incentive Plan vested on 9-30-99 and were deferred into the Common Stock Fund of Ashland's Deferred Compensation Plan. 4. 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. 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 9-30-99 and includes transactions on or after 6-30-99 (including the deferral of formerly restricted common stock which vested on 9-30-99), 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 date has varied from $34.688 - $43.188. SIGNATURE OF REPORTING PERSON John A. Brothers DATE November 5, 1999 -----END PRIVACY-ENHANCED MESSAGE-----