SEC Form 4/A · accession 0001127602-15-004877
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 4, 2015 | J | 7,300 | D | — | — | Common Stock | 7,300 | 13,600 | D |
| Deferred Compensation Company Stock PlanF3,F4 | — | Feb 4, 2015 | J | 7,602 | A | — | — | Common Stock | 7,602 | 46,699 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 4, 2015 | A | 17,606 | A | — | — | Common Stock | 17,606 | 31,206 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 3,779 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 3,779 | 3,779 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of Restricted Stock Units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F3Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F4Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F5Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
- F6SARS (Stock Appreciation Rights) granted under the Ball Corporation Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant.