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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (1) | 07/25/2024 | A | 15,234 | (2) | (2) | Common Stock | 15,234 | $ 94.52 | 15,234 (3) | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Assis Alessandra Faccin 8145 BLAZER DRIVE WILMINGTON, DE 19808 |
SVP and GM, Life Sciences | |||
| /s/ Serena S. Kenost, Attorney-in-Fact for Assis Alessandra Faccin | 08/13/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Each Restricted Stock Unit (RSU) represents a right to receive one (1) share of ASH Common Stock. |
| (2) | The shares in this grant will vest 20% on the first anniversary of the grant date, 20% on the second anniversary of the grant date and 60% on the third anniversary of the grant date, provided that the Reporting Person remains in continuous employment with the Issuer. |
| (3) | The original Form 4, filed on July 29, 2024, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported a grant of Restricted Stock Units (RSUs) that occurred on July 26, 2024 as a total of 14,970 shares acquired when in fact a grant of 15,234 RSUs occurred on July 25, 2024. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an addition in the number of shares reported as beneficially owned by the reporting person by 264 shares. |