Initial Statement of Beneficial Ownership (3)
October 09 2018 - 5:02PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Consiglio Vito J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/1/2018
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3. Issuer Name
and
Ticker or Trading Symbol
ASHLAND GLOBAL HOLDINGS INC [ASH]
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(Last)
(First)
(Middle)
1005 ROUTE 202/206
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Vice President /
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(Street)
BRIDGEWATER, NJ 08807
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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152
(1)
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I
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401(k)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(2)
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(2)
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Common Stock
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961
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(3)
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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386
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(3)
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D
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Restricted Stock Units
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(5)
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(5)
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Common Stock
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1945
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(3)
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D
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Restricted Stock Units
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(6)
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(6)
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Common Stock
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3037
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(3)
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D
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Stock Appreciation Right
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11/16/2017
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12/16/2026
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Common Stock
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1836
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$57.96
(7)
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D
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Stock Appreciation Right
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11/15/2018
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12/15/2027
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Common Stock
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5200
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$67.16
(7)
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D
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Explanation of Responses:
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(1)
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Based on Employee Savings Plan information as of September 28, 2018, the latest date for which such information is reasonably available.
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(2)
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Grant of 950 Restricted Stock Units on 11/15/17, plus 11 additional shares from dividends, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of three equal annual installments beginning 1 year from date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
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(3)
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Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
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(4)
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386 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant on 11/16/16 of 565 Restricted Stock Units pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of three equal annual installments beginning 1 year from date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
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(5)
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1,945 Restricted Stock Units (inclusive of additional shares from dividends) remaining from an initial grant on 7/26/16 of 3,766 Restricted Stock Units pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of 25% 1 year from date of grant, the next 25% 2 years from date of grant and the remaining 50% 3 years from the date of grant, provided that the Reporting Person remains in continuous employment with the Issuer.
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(6)
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Grant of 3,000 Restricted Stock Units on 11/15/17, plus 37 additional shares from dividends, pursuant to Ashland's incentive plan as approved by the shareholders and exempt pursuant to Rule 16b-3. The shares in this grant have a vesting schedule of 50% after the first year, the next 25% the second year and the remaining 25% the third year, provided that the Reporting Person remains in continuous employment with the Issuer.
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(7)
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Stock Appreciation Right granted pursuant to Ashland's incentive plan which vests in three annual installments: 50% after the first year, the next 25% the second year and the remaining 25% the third year.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Consiglio Vito J
1005 ROUTE 202/206
BRIDGEWATER, NJ 08807
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Vice President
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Signatures
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/s/ Jennifer I. Henkel, Attorney-in-Fact
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10/9/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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