Item 5. Other Information
ITEM 5. OTHER INFORMATION
Insider Trading Arrangements
During the three months ended June 30, 2023 , none of the Company's directors or officers adopted , modified or terminated a Rule 10b5-1 plan or a non-Rule 10b5-1 trading arrangement .
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ITEM 6. EXHIBITS
(a) Exhibits
10.1
Third Amendment to the Receivables Purchase Agreement dated as of April 14, 2023, by and among CVG Capital III LLC as the Seller, PNC Bank National association as the Administrative Agent and Ashland Inc. as the Servicer filed as Exhibit 10.1 to Ashland Inc.’s Form 8-K filed on April 20, 2023 (SEC File No. 333-211719) and incorporated herein by reference.
10.2
Second Amendment to the Second Amended and Restated Purchase and Sale Agreement dated as of April 14, 2023, by and among Ashland Inc. as Exiting Originator and Servicer, Ashland Specialty Ingredients G.P. as remaining originator and CVG Capital III as the Buyer filed as Exhibit 10.2 to Ashland Inc.’s Form 8-K filed on April 20, 2023 (SEC File No. 333-211719) and incorporated herein by reference.
31.1*
Certificate of Guillermo Novo, Chief Executive Officer of Ashland pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*
Certificate of J. Kevin Willis, Chief Financial Officer of Ashland pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32*
Certificate of Guillermo Novo, Chief Executive Officer of Ashland, and J. Kevin Willis, Chief Financial Officer of Ashland pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS**
Inline XBRL Instance Document.
101.SCH**
Inline XBRL Taxonomy Extension Schema Document.
101.CAL**
Inline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF**
Inline XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB**
Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE**
Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104
Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101).
*
Filed herewith.
**
Attached as Exhibit 101 to this report are the following documents formatted in XBRL (Extensible Business Reporting Language): (i) Statements of Consolidated Comprehensive Income (Loss) for the three and nine months ended June 30, 2023 and June 30, 2022; (ii) Condensed Consolidated Balance Sheets at June 30, 2023 and September 30, 2022; (iii) Statements of Condensed Consolidated Cash Flows for the nine months ended June 30, 2023 and June 30, 2022; and (iv) Notes to Condensed Consolidated Financial Statements.
SM
Service mark, Ashland or its subsidiaries, registered in various countries.
Trademark, Ashland or its subsidiaries, registered in various countries.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Ashland Inc.
(Registrant)
July 27, 2023
/s/ J. Kevin Willis
J. Kevin Willis
Senior Vice President and Chief Financial Officer
(on behalf of the Registrant and as principal
financial officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.